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Nasd Market Surveillance Manual

By Kulczak, Michael J.

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Book Id: WPLBN0000698309
Format Type: PDF eBook
File Size: 280,688 KB.
Reproduction Date: 2005

Title: Nasd Market Surveillance Manual  
Author: Kulczak, Michael J.
Volume:
Language: English
Subject: United Nations., United Nations. Centre for Economic and Social Information, AID project impact evaluation report
Collections: United Nations Library International Aid and Funding Collection
Historic
Publication Date:
Publisher: United Nations Library International Aid and Funding

Citation

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Kulczak, M. J. (n.d.). Nasd Market Surveillance Manual. Retrieved from http://www.worldlibrary.in/


Description
Excerpt: NASD was commissioned by the AMIR Program ?to assist the JSC in developing a feasible market surveillance procedures manual based on the level of market information, data, and tools currently available to the JSC, ASE and SDC for surveillance and ...

Table of Contents
Table of Contents Executive Summary Recommendations 4 Issue instruction(s) to clarify and define trading violations 6 Define the burden of proof required to bring civil enforcement action 6 Expand role or Enforcement Unit in investigation and civil prosecution 7 Review sanctions guidelines 7 Capture issuer and broker-related news 8 Redefine the surveillance work process to focus on off-line surveillance 9 Make use of ?sweeps? 9 Maximize utilization of available market data/build statistically-based alert functionality 10 Develop Department staff alert development capabilities 11 Develop technology specialist position 11 Initiate implementation of off-line surveillance approach through pilot program 12 MANUAL Introduction 14 Objectives and Overall Responsibilities of the Capital Market Monitoring Department 14 Key Staff Responsibilities for Capital Market Monitoring Department 15 Overview of Prohibited Trading Practices 16 Delegated Authority to the Capital Market Monitoring Department 18 Monitoring for Market Rule Violations 19 Marking-the-close 19 Insider Trading 24 Front-running Research Reports 30 Pump and Dump Fraud/Price Manipulation 34 Insider Trade Reporting 39 Front-running Client Orders 41 Trading Away 46 Wash Sales/Pre-arranged Trades 48 ?Spoofing? or Manipulation by Entry and Cancellation of Orders 52 Price Manipulation/Market Domination 56 Appendix A: Form Trading Inquiry Report 59 Appendix B: List of Persons Interviewed 62 Appendix C: Alert Template 63

 

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