Circular 54 – Amendment of NASD Form 5B (Transfer of Status as Authorised Trader) and NASD Form 3 (Security Admission).
Last updated: Mar 2024
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Circulars and Notices
Important circulars outlining rules, regulatory updates, operational changes, and compliance requirements that guide market participants and ensure orderly market conduct.
Circulars
Circular 53 – Notification of strict application of penalties.
Last updated: Jan 2022
Circular 52 – Notification of SEC Circular on the Commencement of Regulatory Fee on Fixed Income (Bonds) Secondary Market Transactions
Last updated: 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.
Last updated: Nov 2021
Circular 50 – Notification of Publication of New Rules
Last updated: Sep 2021
Circular 49 – Notification of Publication of New Guidelines & Disclosure Requirements
Last updated: Jul 2021
Circular 48 – NASD 2021 Surveillance Priorities
Last updated: Apr 2021
Circular 47 -Submission of Hard Copies of Documents
Last updated: Mar 2021
Circular 46 – Notification of New Rules IPF and Subbroker Rules
Last updated: Mar 2021
Circular 45- Change in Template of Rendition of Returns to NASD OTC
Last updated: Dec 2020
Circular 44 – Extension of deadline for payment of Trade Guarantee Fund
Last updated: Dec 2020
Circular 43 – Administration of Stamp Duties; Increment from 0.075% to 0.08%
Last updated: Dec 2020
Circular 42 – One Time Contribution to the NASD Trade Guarantee Fund
Last updated: Nov 2020
Circular 41 – Guidance on Compliance with NASD Rules and Regulations
Last updated: May 2020
Circular 40 – Extention OF Filing Deadline
Last updated: Mar 2020
Circular 38 – Classification of Proprietary Account
Last updated: Mar 2020
Circular 37 – Notice Of Value Added Tax (VAT) Increment
Last updated: Feb 2020
Circular 36- NASD-2020 Surveillance Priorities
Last updated: Jan 2020
Circular 35 – Contribution to The NASD Trade Guarantee Fund
Last updated: Dec 2019
Circular 34 – NEGOTIATED DEALS AND HIGH VOLUME TRADES
Last updated: Aug 2022
Circular 33 – Rendition Of Returns To The NASD OTC Securities Exchange.
Last updated: Sep 2019
Circular 32- Expiration of Value Added Tax – July 25, 2019
Last updated: Jul 2019
Circular 31- VWAP Pricing Model
Last updated: Aug 2018
Circular 30A – Affiliation With NASD PLC And Display OF NASD Trading License
Last updated: Aug 2019
Circular 30 – Affiliation with NASD OTC Securities Exchange
Last updated: Dec 2017
Circular 29 – Disciplinary Actions against Participating Institutions in 2017
Last updated: Dec 2017
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