HelpFINRA Manual: Contents
FINRA Manual
Corporate Organization Retired Rules
Retired NASD Rules
CONDUCT RULES (2000–3000)
3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES
3115. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures
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Up to Apr 18 2010
Apr 19 2010 onwards
Apr 19 2010 onwards
3121. Custodian of the Record
This rule is no longer applicable. NASD Rule 3121 has been superseded by FINRA Rule 4570. Please consult the appropriate FINRA Rule.
A member who files a Securities and Exchange Commission Form BDW shall designate on the Form BDW, as the custodian of the record, a person associated with the member at the time that the Form BDW is filed.
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Adopted by SR-NASD-99-76 eff. Sept. 11, 2000. Selected Notice: 00-56. |
