Disciplinary measure enacted by the National Association of Securities Dealers (NASD) upon firms that have hired more than a specified percentage of their employees from firms that had registrations revoked due to breaking trading regulations. The taping rule requires three years of recording all customer interactions for the firm.
Related information about taping rule:
- Taping Rule Definition | Investopedia
A rule created by the National Association of Securities Dealers (NASD) that requires that special supervisory procedures be put in place when a specific ...
- Disciplined Firms Under Taping Rule - FINRA
Aug 17, 1998 ... Effective August 17, 1998, the Securities and Exchange Commission approved an amendment to NASD Rule 3010 to require members to ...
- What is taping rule? definition and meaning
Definition of taping rule: Disciplinary measure enacted by the National ... The taping rule requires three years of recording all customer interactions for the firm.
- Taping Rule: Definition from Answers.com
Taping Rule A rule created by the National Association of Securities Dealers ( NASD) that requires that special supervisory procedures be put.
- Print - FINRA - Rules and Regulations
The Taping Rule, which has been in effect since 1998, is designed to ensure that members with a significant number of registered persons that previously were ...
- Print - FINRA - Rules and Regulations
The Taping Rule was developed to respond to two issues. First, it responds to concerns expressed in the Joint Regulatory Sales Practice Sweep (Sweep) Report ...
- 34-64736 - Securities and Exchange Commission
Jun 23, 2011 ... Rule 3010(b)(2) (often referred to as the “Taping Rule”) with new FINRA Rule 3170. (Tape Recording of Registered Persons by Certain Firms); ...
- 34-44367
The Taping Rule requires a member firm of Whitehall's size (i.e., a firm with at least 20 registered persons) to adopt special supervisory procedures, including the ...