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Tuesday, February 6, 2007

Equity Regulatory Alert #2007 - 7
NASD Provides Guidance on AGU and QSR Relationships

Please Route To:Head Traders; Technical Contacts; Compliance Officers; Clearing Contacts

What you need to know:

Whom you should contact:

What is NASD’s guidance regarding AGU and QSR relationships?
As announced in NASD Member Alert: Notice to All TRF, ADF and Other NASD Facility Participants Regarding AGU and QSR Relationships, NASD/NASDAQ TRF participants who wish to submit locked-in trade reports under QSR agreements will need to have an AGU agreement on record with NASDAQ® for each QSR relationship by February 26, 2007.

The form of give-up agreement that must be executed for purposes of "on behalf of" trade reporting to the NASD/NASDAQ TRF is the Uniform Trade Reporting Facility Service Bureau/Executing Broker Agreement. The agreement should be faxed to NASDAQ Subscriber Services at 212.231.5426. Members that have already executed the NASDAQ AGU/Attachment 2 Agreement are not required to execute a new agreement.

Where can I get a list of my firm’s QSR relationships?
For a list of your firm’s QSR relationships without an AGU agreement, please contact NASDAQ Market Sales at 800.846.0477.

Where can I get additional information?

  • Refer to the NASD Member Alert.
  • Contact NASDAQ Market Sales at 800.846.0477.
  • Contact NASD Operations 866.776.0800.


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