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    Document Library

    • Home
    • Rules & Regulations
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    1Admission
    NASD Form 2 - Company Admission
    NASD Form 3 - Security Admission - Admission to Trade a New Security
    REQUIREMENTS FOR COMPANY ADMISSION
    REQUIREMENTS FOR SECURITY ADMISSION
    2Registration
    NASD Form 1a - Registration as a Participating Institution
    NASD Form 1b - Registration as an Authorized Trader
    NASD Form 4a - Registration as a Custodian
    NASD Form 4b - Registration as a Pension Custodian
    Template for NASD Reference Letter
    Sworn Undertaking by the Operator
    NASD Registration Fees
    3Participating Institution Status Update
    NASD Form 5a - Notification of resignation of an Authorised Trader
    NASD Form 5b - Transfer of Status as Authorised Trader
    NASD OTC-Participating Institution Update Form
    4Market Services
    CSCS - Inter Member Transfer Form
    NASD Form 6 - Nominal Transfer Form
    NASD Form 7a - Negotiated Deal Form Sell Side
    NASD Form 7b - Negotiated Deal Form Buy Side
    NASD Form 7c - Crossed Deal Form
    NASD Form 8a - Detachment To Special Account
    NASD Form 8b - Detachment From Special Account
    5Fees
    NASD REGISTRATION FEES
    NASD TRANSACTION FEES
    NASD ADMINISTRATIVE FEES
    6Reports
    Participating Institution Quarterly Disclosure Form
    Quarterly Transaction Report Format
    Complaint Form
    Complaint Feedback Form
    7Rules
    NASD OTC MARKET RULES
    NASD-MARKET-MAKER-RULES
    NASD-RULES-ON-NOMINAL-TRANSFERS
    NASD-LINKED-NOTES-OPERATIONAL-GUIDELINES
    CODE OF DISCIPLINARY PROCEDURE
    NASD RULES FOR EXECUTING NEGOTIATED DEALS ON NASD-OTC
    8Policies
    NASD- SECURITIES TRADING POLICY,2019
    NASD-WHISTLEBLOWING POLICY,2019
    NASD- PRIVACY POLICY
    NASD- COOKIES POLICY

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    NASD PLC

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    57 Marina, Lagos State,
    Nigeria

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