Nasdaq Options Rule 6E

Key provisions:

• Books, records, and reporting. Establishes requirements for maintaining accurate records, preparing regulatory reports, and preserving information needed for regulatory oversight and examinations.
• Financial and operational oversight. Requires firms to comply with obligations relating to audits, financial reporting, capital monitoring, customer account records, and other operational controls designed to support financial responsibility.
• Regulatory filings and notifications. Sets standards for submitting required reports, questionnaires, notices, and other information to regulators in a timely and complete manner.
• Record retention and accessibility. Requires firms to retain records for prescribed periods and ensure records are organized, accessible, and available for regulatory review.
• Compliance and examination readiness. Helps regulators assess firms’ financial condition, operational integrity, and compliance with securities laws and exchange rules.