Circulars and Notices

---

• 

  Circular 53 – Notification of strict application of penalties.

  Published: Jan 2022

• 

  Circular 52 – Notification of SEC Circular on the Commencement of Regulatory Fee on Fixed Income (Bonds) Secondary Market Transactions

  Published: Dec 2021

• 

  Circular 51 – Notification Of Sec’s Guidance on The Implementation Of Sections 60 – 63 Of The Investments And Securities Act, 2007 – Extension Of Compliance Date To December 2023.

  Published: Nov 2021

• 

  Circular 50 – Notification of Publication of New Rules

  Published: Sep 2021

• 

  Circular 49 – Notification of Publication of New Guidelines & Disclosure Requirements

  Published: Jul 2021

• 

  Circular 48 – NASD 2021 Surveillance Priorities

  Published: Apr 2021

• 

  Circular 47 -Submission of Hard Copies of Documents

  Published: Mar 2021

• 

  Circular 46 – Notification of New Rules IPF and Subbroker Rules

  Published: Mar 2021

• 

  Circular 45- Change in Template of Rendition of Returns to NASD OTC

  Published: Dec 2020

• 

  Circular 44 – Extension of deadline for payment of Trade Guarantee Fund

  Published: Dec 2020

• 

  Circular 43 – Administration of Stamp Duties; Increment from 0.075% to 0.08%

  Published: Dec 2020

• 

  Circular 42 – One Time Contribution to the NASD Trade Guarantee Fund

  Published: Nov 2020

• 

  Circular 41 – Guidance on Compliance with NASD Rules and Regulations

  Published: May 2020

• 

  Circular 40 – Extention OF Filing Deadline

  Published: Mar 2020

• 

  Circular 38 – Classification of Proprietary Account

  Published: Mar 2020

• 

  Circular 37 – Notice Of Value Added Tax (VAT) Increment

  Published: Feb 2020

• 

  Circular 36- NASD-2020 Surveillance Priorities

  Published: Jan 2020

• 

  Circular 35 – Contribution to The NASD Trade Guarantee Fund

  Published: Dec 2019

• 

  Circular 34 – NEGOTIATED DEALS AND HIGH VOLUME TRADES

  Published: Aug 2022

• 

  Circular 33 – Rendition Of Returns To The NASD OTC Securities Exchange.

  Published: Sep 2019

• 

  Circular 32- Expiration of Value Added Tax – July 25, 2019

  Published: Jul 2019

• 

  Circular 31- VWAP Pricing Model

  Published: Aug 2018

• 

  Circular 30A – Affiliation With NASD PLC And Display OF NASD Trading License

  Published: Aug 2019

• 

  Circular 30 – Affiliation with NASD OTC Securities Exchange

  Published: Dec 2017

• 

  Circular 29 – Disciplinary Actions against Participating Institutions in 2017

  Published: Dec 2017