National Association of Securities Dealers 3010 & 3110 (NASD 3010 & 3110) - permalink
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- The National Association of Securities Dealers (NASD) requires that member firms establish and maintain a system to "supervise" the activities of each registered representative, including transactions and correspondence with the public. In addition, NASD 3110 requires that member firms implement a retention program for all correspondence involving registered representatives. Effects primarily broker-dealers, registered representatives, and those individuals that trade securities or act as brokers for traders are subject to the regulations. [Exchange 2007]
Microsoft - Cite This Source - This Definition - Browse Related Terms: EUDPD (European Union Data Protection Directive), Financial Institution Privacy Protection Act of 2001, Financial Institution Privacy Protection Act of 2003, Gramm-Leach-Bliley Act (Financial Modernization Act), HIPAA (Health Insurance Portability and Accountability Act), HIPAA Privacy Rule, Japan's Personal Information Protection Act, SOX (Sarbanes-Oxley Act of 2002), Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001