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12-13 SEC Approves Consolidated FINRA Best Execution Rule; Effective Date: May 31, 2012

11-19 SEC Approves Consolidated FINRA Rules Governing Books and Records; Effective Date: December 5, 2011

10-26 SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security; Effective Date: June 28, 2010

07-40 SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities; Effective Date: September 28, 2007

05-08 Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities

04-71 SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls

04-36 SEC Approves NASD Proposed Rule 9550 Series on Expedited Proceedings

04-15 SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry

00-78 SEC Approves Proposed Changes To The NASD Three Quote Rule And Related Recordkeeping Requirements

98-73 Firms Required To Register For Order Audit Trail System; Amendments To OATS Rules

98-47 SEC Approves Changes To Books And Records Requirements

98-33 SEC Approves New Order Audit Trail System (OATS)

98-11 SEC Approves Rules Regarding Supervision, Review, And Record Retention Of Correspondence

97-1 Approval Of Telemarketing Amendments

96-82 NASD Regulation Solicits Comment On Proposed Rules Governing Supervision, Review, And Record Retention Of Correspondence

96-44 NASD Interprets NASD Rule 2110 And Files Telemarketing Rule Changes With SEC

95-85 Clarification Of NASD Notice to Members 95-16 And NYSE Information Memorandum 95-16: Content And Enforcement Of Provisions In Customer Agreements And Predispute Arbitration Clauses

95-54 SEC Approves Amendments To Article III, Section 21 Of The NASD Rules Of Fair Practice Relating To Cold-Calling Requirements

95-16 Predispute Arbitration Clauses In Customer Agreements

92-65 SEC Approval of Amendments Concerning the Exclusion of Class-Action Matters From Arbitration Proceedings and Requiring That Predispute Arbitration Agreements Include a Notice That Class-Action Matters May Not Be Arbitrated

91-46 Request for Comments on Exemption for Directly Marketed Mutual Funds From Article III, Section 21(c)(2)(ii) and (iii) of the Rules of Fair Practice Re: Customer Account Information Regarding Employment; Last Date for Comments: July 31, 1991

90-52 SEC Approval of Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information

90-12 Proposed Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Voting Date: April 5, 1990

89-58 Amendment Re: Predispute Arbitration Clauses in Customer Agreements

88-91 Proposed Amendment to Article III, Section 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Date for Comments: December 1, 1988

88-85 Securities and Exchange Commission Decision Re: Handling Customers' Limit Orders

88-40 Adoption of New Schedule H to the NASD By-Laws and Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice.

87-15 Proposed Amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice and the Interpretation of the Board of Governors Concerning Short Sales

86-69 Amendments to NASD Rules on Short Sales Become Effective October 15, 1986

86-29 Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Relating to Short Sales

3110. Books and Records

This version is valid from Dec 5 2011 through May 30 2012.
Amendments have been announced but are not yet effective. To view other versions open the versions tab on the right.

(a) Reserved.
(b) Marking of Customer Order Tickets
A person associated with a member shall indicate on the memorandum for each transaction in a non-exchange-listed security, as that term is defined in Rule 2320, the name of each dealer contacted and the quotations received to determine the best inter-dealer market; however, the requirements of this paragraph shall not apply if the member can establish and has documented that:
(1) two or more priced quotations for the security are displayed in an inter-dealer quotation system, as defined in Rule 2320(f), that permits quotation updates on a real-time basis for which NASD has access to historical quotation information; or
(2) the transaction is effected in compliance with Rule 2320(f)(3)(B) or (C).
(c) Reserved.
(d) Reserved.
(e) Reserved.
(f) Reserved.
(g) Reserved.
(h) Reserved.
(i) Holding of Customer Mail
Upon the written instructions of a customer, a member may hold mail for a customer who will not be at his or her usual address for the period of his or her absence, but (A) not to exceed two months if the member is advised that such customer will be on vacation or traveling or (B) not to exceed three months if the customer is going abroad.
(j) Reserved.
Amended by SR-FINRA-2010-052 eff. Dec. 5, 2011.
Amended by SR-FINRA-2010-003 eff. June 28, 2010.
Amended by SR-FINRA-2007-024 eff. Sep. 8, 2009.
Amended by SR-NASD-2004-130 eff. Sep. 28, 2007.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Amended by SR-NASD-2005-103 eff. Aug. 29, 2005
Amended by SR-NASD-98-74 eff. May 1, 2005
Amended by SR-NASD-2005-045 eff. April 12, 2005
Amended by SR-NASD-2002-162 & SR-NASD-2004-116 eff. Jan. 31, 2005
Amended by SR-NASD-2004-175 eff. Jan 3, 2005
Amended by SR-NASD-2003-110 eff. June 28, 2004
Amended by SR-NASD-2003-131 eff. March 31, 2004
Amended by SR-NASD-00-20 eff. Nov. 24, 2000
Amended by SR-NASD-98-38 eff. according to schedule in Rule 6957
Amended by SR-NASD-98-35 eff. May 29, 1998
Amended by SR-NASD-98-31 eff. Apr. 7, 1998
Amended by SR-NASD-98-10 postponed eff. date
Amended by SR-NASD-97-56 eff. according to schedule in Rule 6957
Amended by SR-NASD-97-24 eff. Feb. 15, 1998
Amended by SR-NASD-96-28 eff. Dec 2, 1996
Amended by SR-NASD-95-39 eff. Oct 10, 1996
Amended by SR-NASD-95-13 eff. June 9, 1995
Amended by SR-NASD-92-12 eff. Sept. 6, 1994
Amended by SR-NASD-92-28 eff. Oct. 28, 1992
Amended by SR-NASD-90-09 & SR-NASD-90-39 eff. May 2, 1990 eff. for accounts opened and recommendations made after Jan. 1, 1991
Amended by SR-NASD-88-21 eff. Aug. 1, 1988, May 10, 1989
Amended by SR-NASD-87-23 eff. Aug. 3, 1987
Amended by SR-NASD-86-17 eff. Oct, 15, 1986

Selected Notices: 86-29, 86-69, 87-15, 88-40, 88-83, 88-91, 89-58, 90-12, 90-52, 91-46, 92-65, 95-16, 95-54, 95-85, 96-44, 96-82, 97-01, 98-11, 98-33, 98-47, 98-73, 00-78, 04-15, 04-36, 04-71, 05-08, 07-40, 10-26, 11-19.

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