NASD Rule 3050

Personal Trading Compliance

Complying with NASD Rule 3050 is easier than you ever imagined with the Compliance11 Supervisory Suite. Under the code of ethics guidelines, employees have a fiduciary responsibility to disclose conflicts of interest regarding personal trading and broker-dealers are required to monitor for these conflicts to comply with NASD Rule 3050.

With the Compliance11 Supervisory Suite, broker-dealers can monitor for potential conflicts by establishing restricted and watch lists that are automatically cross referenced before an employee trade can be approved. The centralization of the data in the Compliance11 Supervisory Suite enables broker-dealers to quickly access and report on employee personal trading activities to comply with NASD Rule 3050.