NYSE and NYSE MKT MEMBERS AND MEMBER ORGANIZATIONS. NYSE Rule 36 - Use of Non-NYSE Provided Cellular Phones on the Floor of the Exchange
|
|
- Ethelbert Ryan
- 5 years ago
- Views:
Transcription
1 Regulatory Bulletin NYSE RB NYSE MKT RB July 17, 2017 TO: SUBJECT: NYSE and NYSE MKT MEMBERS AND MEMBER ORGANIZATIONS NYSE Rule 36 - Use of Non-NYSE Provided Cellular Phones on the Floor of the Exchange I. Purpose The Exchange recently amended Rule 36 (Communication Between Exchange and Members Offices) to permit Floor brokers to use cellular or wireless phones on the Floor of the Exchange (the Floor ) that have not been provided by the Exchange and to make related changes modeled on the rules of NYSE MKT and NYSE Arca, Inc., governing telephone use on those markets options trading floors. The changes will be operative on September 15, 2017 (the Implementation Date ). The current version of Rule 36 will remain in effect until the Implementation Date. All Exchange-provided cellular phones will be disabled as of the Implementation Date. II. Background Rule 36 governs the establishment of telephone or electronic communications between the Floor and any other location, which requires Exchange approval. Supplementary Material.20,.21 and.23 to Rule 36 outline the conditions under which Floor brokers are permitted to use portable phones authorized and provided by the Exchange. On July 7, 2017, the SEC approved amendments to Rule 36 that permit Floor brokers to use cellular and wireless phones on the Floor of the Exchange that have not been provided by the Exchange ( Non-Exchange Phones ), subject to certain specific requirements outlined below. 1 Pursuant to the recent amendment to Rule 36, before using a Non-Exchange Phone, a Floor broker must: register the device with the Exchange (amended Rule 36.21(a)); complete an attestation at the time of registration that he or she is aware of and understands the rules governing the use of telephones on the Floor (amended Rule 36.21(a)); and maintain records of the use of telephones and all other approved alternative communication devices, including logs of calls placed (amended Rule 36.21(d)). 1 The SEC s approval order is available at
2 III. Obligations under Amended Rule 36 Registration of Cellular or Wireless Phones with the Exchange Prior to using a Non-Exchange Phone on the Floor, a Floor broker must register that phone by sending an to the NYSE Regulation On-Floor Supervision Unit at Rule36Submissions@theice.com with the subject line NYSE Floor phone registration. That should specify: the type of phone (e.g., iphone X, Samsung Galaxy X); the cellular or wireless carrier; the phone number; and the name and badge number of the member who will be using the phone on the Floor. Member organizations are reminded that they have an obligation to keep the registration information up to date and immediately advise the Exchange of any changes by sending an to the same address. Pursuant to amended Rule 36.21(a), no Floor broker may employ any alternative cellular or wireless phone on the Floor without prior approval of the Exchange. Attestation by Floor Broker Pursuant to amended Rule 36.21(a), at the time a new phone is registered, Floor brokers must complete a form identifying the registered phone that broker will be using on the Floor and attesting, among other things, that: they are aware of and understand the rules governing the use of telephones on the Floor and may not employ any alternative cellular or wireless phone (other than the devices described in the form) on the Floor without prior Exchange approval; the Exchange has the right to request from the individual broker, his or her firm, or the broker s portable phone service provider any data and records relating to incoming and outgoing calls that the Exchange s Regulatory Group deems necessary; and use of a cellular or wireless phone pursuant to amended Rules and must comply with those rules and all other rules, policies, and procedures of both the federal securities laws and the Exchange, including the record retention requirements, as set forth in Exchange Rule 440 and SEC Rules 17a-3 and 17a-4. Member organizations must retain and be able to provide records relating to the cellular or wireless phones used by the member organizations brokers on the Floor. The Attestation is attached as Exhibit A and should be completed and submitted to NYSE Regulation On-Floor Supervision Unit by sending an to Rule36Submissions@theice.com. Supervision If a member organization operating a Floor broker business chooses to register phones with the Exchange under amended Rule 36.21(a), that member organization must establish or enhance its supervisory policies and procedures to ensure that communications using a Non- Exchange Phone are made in a manner consistent with Rule 36. Amended Rule 36.21(d)
3 provides that member organizations must maintain records of the use of telephones and all other approved alternative communication devices, including logs of calls placed, for a period of not less than three years, the first two years in an accessible place. The information in the logs must include but not be limited to the date and time of the call, whether the call was incoming or outgoing, the telephone number of all other parties to the call and the duration of the call. A member does not satisfy its obligation to obtain and preserve those records by relying upon the fact that they are retained in the files of its cellular or wireless carrier. For example, if a member organization permits its employees to use personal cell phones on the Floor, rather than firm-issued cell phones, the firm should establish procedures to obtain records from its employees sufficient to meet the record-keeping requirements of Rule 36.21(d). The Exchange reserves the right to periodically inspect such records pursuant to Rule If a member organization allows for the use of cellular or wireless phones on the Floor that provide additional functionality (e.g., call forwarding or conference calling), records relating to the use of such functionality must also be retained and are also subject to supervisory review. It will be incumbent upon the member organization to ensure that such phone records are preserved and retained as described above. Member organizations are also reminded of their supervisory responsibilities with respect to text and capabilities of Non-Exchange Phones, which should be subject to the firms policies and procedures on e-communications, as required by FINRA Rule 3110 and NYSE Rule Additional guidance related to FINRA Rule 3110, including information on e- communication policies, is available in FINRA Regulatory Notice As with Exchange-issued phones currently, member organizations must also implement procedures designed to deter anyone calling their cellular or wireless phones from using caller ID block or other means to conceal the phone number from which a call is being made. Members and member organizations must make and retain records demonstrating compliance with such procedures. See amended Rule 36.21(c). With respect to other capabilities of Non-Exchange Phones, Floor brokers should refer to guidance provided in FINRA Regulatory Notice Guidance on Social Networking and Business Communications. Amended Rule 36.21(f) provides that the Exchange assumes no liability to Floor brokers arising from conflicts between phones in use on the Floor or due to electronic interference problems resulting from the use of telephones on the Floor. IV. Contact Information Questions regarding the changes related to Rule 36 may be directed to: Stephen Larson, Senior Director, NYSE Regulation, at , Scott Palmer, Director, NYSE Regulation, at , or Mike Fitzpatrick, Manager, NYSE Regulation, at Operational questions may be directed to: Bob Airo, Senior Director, Operations, at , or Anthony Monteleone, Head of NYSE Trading Floor Operations, at
4 EXHIBIT A FLOOR BROKER CELLULAR AND WIRELESS TELEPHONE ATTESTATION (RULES and 36.21) I, (insert full name of member and badge number), employed by, or associated with [insert firm name], hereby acknowledge that I will be utilizing the following cellular or wireless telephone(s) on the Floor pursuant to Rules and 36.21, which phone number(s) was (were) separately registered with the New York Stock Exchange (the NYSE or Exchange ) by dated (copy attached): Phone Number I hereby attest that I am aware of and understand the rules governing the use of telephones on the Floor and that I may not employ any alternative cellular or wireless phone (other than the devices as described herein) on the Floor without prior approval of the Exchange. As a condition of my use of the above cellular or wireless phone(s) pursuant to Rules and 36.21, which enables me to receive and send calls on the Floor, I further acknowledge that the Exchange has the right to request from me, my firm or my portable phone service provider any data and records relating to incoming and outgoing calls that the Regulatory Group deems necessary. I also acknowledge that my use of a cellular or wireless phone pursuant to Exchange Rules and must comply with those rules and all other rules, policies, and procedures of both the federal securities laws and the Exchange, including the record retention requirements, as set forth in Exchange Rule 440 and SEC Rules 17a-3 and 17a- 4. I also acknowledge that I may not employ any alternative cellular or wireless phone (other than the devices as described herein) on the Floor without prior approval of the Exchange. ****
5 Please sign and return this document to your firm s compliance department with a copy to New York Stock Exchange Regulation, 11 Wall Street, 20th Floor, New York, NY Print Name: Signed: Date:
CHIEF EXECUTIVE OFFICER/MANAGING PARTNER AND COMPLIANCE, REGULATORY, AND LEGAL DEPARTMENTS
Information Memo Member Firm Regulation NYSE Regulation, Inc. 20 Broad Street New York, NY 10005 nyse.com Number 07-43 May 9, 2007 ATTENTION: TO: SUBJECT: CHIEF EXECUTIVE OFFICER/MANAGING PARTNER AND COMPLIANCE,
More informationCOMPLAINT FINANC1AL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS. Disciplinary Proceeding SUMMARY
FINANC1AL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding Department of Enforcement, No. 2010023220507 Complainant, Hearing Officer V. Ascendiant Capital Markets, LLC,
More informationRegulatory Notice 09-64
Regulatory Notice 09-64 Customer Assets Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts Executive Summary As part of their duty to safeguard customer assets and to meet
More informationNotice to Members. Branch Office Definition. Executive Summary. Questions/Further Information AUGUST 2002
Notice to Members AUGUST 2002 SUGGESTED ROUTING CRD Legal & Compliance Member Regulation Operations Senior Management REQUEST FOR COMMENT ACTION REQUESTED BY SEPTEMBER 20, 2002 Branch Office Definition
More informationAll other forms of social media are prohibited unless reviewed and approved prior to use by designated SFA Compliance Principal.
VI.1.5. Social Media Social media is a form of electronic communication that allows individuals to create, share or exchange information and ideas with others in virtual communities and networks. When
More informationRegulatory Notice 10-21
Regulatory Notice 10-21 SEC Approves New Consolidated FINRA Rules SEC Approval and Effective Dates for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules Effective
More informationNASD Extends the Effective Date of the Uniform Branch Office Definition for Broker-Dealers, and Issues Joint Guidance on Branch Office Issues
Capital Markets April 2006 NASD Extends the Effective Date of the Uniform Branch Office Definition for Broker-Dealers, and Issues Joint Guidance on Branch Office Issues I. Introduction On September 9,
More informationRegulatory Notice 14-39
Regulatory Notice 14-39 Electronic Filing New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant) Executive Summary In
More informationNotice to Members. Customer Account Statements. Executive Summary. Questions/Further Information. Background and Discussion
Notice to Members NOVEMBER 2006 SUGGESTED ROUTING Institutional Customers Legal & Compliance Operations Senior Management Clearing Firms KEY TOPICS Customer Account Statements DVP/RVP (Delivery versus
More informationNASD NOTICE TO MEMBERS 97-58
NASD NOTICE TO MEMBERS 97-58 NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity; Comment Period Expires October 31, 1997 Suggested Routing Senior Management
More informationRegulatory Notice 18-27
Regulatory Notice 18-27 Restructured Qualification s and Related Fees Effective Date: October 1, 2018 Summary Effective October 1, 2018, FINRA is restructuring its representative-level qualification examination
More informationRegulatory Notice 11-26
Regulatory Notice 11-26 Financial Responsibility SEC Approves Consolidated Financial Responsibility and Related Operational Rules Effective Date: August 1, 2011 Executive Summary The SEC approved FINRA
More informationRegulatory Notice 09-33
Regulatory Notice 09-33 SEC Approves New Consolidated FINRA Rules SEC Approval and Effective Date for New Consolidated FINRA Rules Effective Date: August 17, 2009 Executive Summary Following the consolidation
More informationNASD Notice to Members Request For Comment. Executive Summary
ACTION REQUESTED BY JULY 25, 2001 Taping Rule NASD Regulation Requests Comment On Proposed Amendments To The Taping Rule; Comment Period Expires July 25, 2001 SUGGESTED ROUTING The Suggested Routing function
More informationJune 17, SR-NASD Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
June 17, 2004 By Hand Katherine A. England Assistant Director Division of Market Regulation Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 RE: SR-NASD-2004-095 Policy
More informationRegulatory Notice 08-11
Regulatory Notice 08-11 Electronic Filing Q&A on Electronic Filing Requirements of NASD Rule 3170 Executive Summary This Notice provides answers to frequently asked questions FINRA has received on the
More informationRegulatory Circular RG Members and Member Firm Organizations. Division of Member and Regulatory Services. Date: October 28, 2009
Regulatory Circular RG09-122 To: From: Members and Member Firm Organizations Division of Member and Regulatory Services Date: October 28, 2009 RE: Supervision of Electronic Communications and Electronic
More informationPolicy Summary: This guidance outlines ACAOM s policy and procedures for managing documents. Table of Contents
Policy Title: Approved By: ACAOM Commissioners History: Policy Implementation Date: 28 October 2016 Last Updated: Related Policies: ACAOM -Records Retention Schedule References: Responsible Official: ACAOM
More informationNEW YORK CYBERSECURITY REGULATION COMPLIANCE GUIDE
COMPLIANCE ADVISOR NEW YORK CYBERSECURITY REGULATION COMPLIANCE GUIDE A PUBLICATION BY THE EXCESS LINE ASSOCIATION OF NEW YORK One Exchange Plaza 55 Broadway 29th Floor New York, New York 10006-3728 Telephone:
More informationEmsi Privacy Shield Policy
Emsi Privacy Shield Policy Scope The Emsi Privacy Shield Policy ( Policy ) applies to the collection and processing of Personal Data that Emsi obtains from Data Subjects located in the European Union (
More informationFINRA to Issue More Guidance on Social Media
News Bulletin August 3, 2011 FINRA to Issue More Guidance on Social Media Social media continues to be a priority of the Financial Industry Regulatory Authority, Inc. ( FINRA ), and we can expect more
More informationNotice to Members. Uniform Branch Office Definition. Executive Summary
Notice to Members MARCH 2006 SUGGESTED ROUTING Senior Management Continuing Education Legal & Compliance Operations Registered Representatives Registration Training KEY TOPICS Branch Office Definition
More informationAs set out in the Hong Kong ID card, or any relevant identification document referred to in 1(g) above.
As set out in the Hong Kong ID card, or any relevant identification document referred to in 1(g) above. B (1)B (2) * In the case of a non-hong Kong ID cardholder, state the passport number or any identification
More informationParticipation Agreement for the ehealth Exchange
Participation Agreement for the ehealth Exchange This Participation Agreement for the ehealth Exchange ("Agreement") is entered into as of the last date written below ( Effective Date ) by and between
More informationRetain, search, review and produce business mobile text messages
Retain, search, review and produce business mobile text messages Employees are now using mobile phones for business communications just as much, if not more than, their desk phones. At the same time, firms
More informationECLIPSE FOUNDATION, INC. INDIVIDUAL COMMITTER AGREEMENT
ECLIPSE FOUNDATION, INC. INDIVIDUAL COMMITTER AGREEMENT THIS INDIVIDUAL COMMITTER AGREEMENT (THE AGREEMENT ) is entered into as of the day of, 20 (the Effective Date ) by and between Eclipse Foundation,
More informationRegulatory Notice 08-26
Regulatory Notice 08-26 Investor Education Proposed Consolidated FINRA Rule Addressing Investor Education and Protection Comment Period Expires: June 13, 2008 Executive Summary As part of the process of
More informationFile No. SR-NASD-00-70
November 29, 2000 Ms. Katherine A. England Assistant Director Division of Market Regulation Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-1001 Re: File No. SR-NASD-00-70
More informationNEW YORK CITY DEPARTMENT OF BUILDINGS. Notice of Public Hearing and Opportunity to Comment on Proposed Rules
NEW YORK CITY DEPARTMENT OF BUILDINGS Notice of Public Hearing and Opportunity to Comment on Proposed Rules What are we proposing? The Department of Buildings (DOB) is proposing to amend 1 RCNY 104-09
More informationRe: File No. SR-NASD Amendments to NASD Rules 1013 and 1140
August 28, 2003 Katherine A. England Assistant Director Division of Market Regulation Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-1001 Re: File No. SR-NASD-2003-136
More informationYOUR GUIDE TO I-STOP COMPLIANCE AND EPCS
YOUR GUIDE TO I-STOP COMPLIANCE AND EPCS Q: I prescribe medication in New York. Why does EPCS matter to me? A: Beginning March 2015, paper prescriptions will no longer be accepted. Beginning March 27,
More informationFull Moon Fest Privacy Policy
Last Updated: May 3rd, 2017 Full Moon Fest Privacy Policy Thank you for visiting the Full Moon Fest website located at www.matteprojects.com (the Website ). The Website is an Internet property of Full
More informationExhibit A Questionnaire
Exhibit A Questionnaire Thank you for your interest in NYSE data. This questionnaire is intended to simplify user application requirements while furnishing customers and data providers with the information
More informationDATA PROTECTION AND PRIVACY POLICY
DATA PROTECTION AND PRIVACY POLICY Data Protection Act London Capital Group (Cyprus) Limited (LCG) may process information relating to you, including holding such information in a manual format or electronic
More informationLiquidnet Canada Targeted Invitation Functionality Notice of Proposed Changes and Request for Comment LIQUIDNET CANADA
13.2.2 Liquidnet Canada Targeted Invitation Functionality Notice of Proposed Changes and Request for Comment LIQUIDNET CANADA NOTICE OF PROPOSED CHANGES AND REQUEST FOR COMMENT Liquidnet Canada is publishing
More informationExhibit A Questionnaire
Exhibit A Questionnaire Thank you for your interest in NYSE data. This questionnaire is intended to simplify user application requirements while furnishing customers and data providers with the information
More informationNYDFS Cybersecurity Regulations
SPEAKERS NYDFS Cybersecurity Regulations Lisa J. Sotto Hunton & Williams LLP (212) 309-1223 lsotto@hunton.com www.huntonprivacyblog.com March 9, 2017 The Privacy Team at Hunton & Williams Over 30 privacy
More informationTHE SOUTHERN BAPTIST THEOLOGICAL SEMINARY PORTABLE ELECTRONIC DEVICE POLICY
THE SOUTHERN BAPTIST THEOLOGICAL SEMINARY PORTABLE ELECTRONIC DEVICE POLICY Effective July 15, 2013 1.1 Program Overview The Seminary recognizes the benefit of using cellular phones and other portable
More informationGatekeeper and Notice Requirements For Direct Electronic Access and Routing Arrangements
Rules Notice Technical UMIR Please distribute internally to: Institutional Legal and Compliance Senior Management Trading Desk Contact: Naomi Solomon Senior Policy Counsel, Market Regulation Policy Telephone:
More informationExhibit A Questionnaire
Exhibit A Questionnaire Thank you for your interest in NYSE data. This questionnaire is intended to simplify user application requirements while furnishing customers and data providers with the information
More informationCash Funding (Derivatives)
Cash Funding (Derivatives) How-to Guide 30 July 2018 Version 1.4 CONTENTS 1. Introduction... 3 1.1 Document Purpose... 3 1.2 Intended Audience... 3 1.3 Document History... 3 2. USD Cash Submission... 4
More informationChess Entries 4 All Website Privacy Policy
Chess Entries 4 All Website Privacy Policy Introduction This website is operated Mmes Billington-Phillips.co and we are a controller for the purposes of the Data Protection Act 1998 and the EU General
More informationRippleMatch Privacy Policy
RippleMatch Privacy Policy This Privacy Policy describes the policies and procedures of RippleMatch Inc. ( we, our or us ) on the collection, use and disclosure of your information on https://www.ripplematch.com/
More informationPrivacy Policy. Effective as of October 5, 2017
Effective as of October 5, 2017 Privacy Policy ClassApps LLC ( ClassApps, we, us, or the Company ) is committed to protecting the privacy of individuals who visit the Company s Web sites ( Visitors ),
More informationTerms of Use or the SMS Notification Service
Terms of Use or the SMS Notification Service Terms of Use These Terms of Use govern the provision and use of the SMS notification service (hereinafter: Service) provided by (hereinafter: us) as set out
More informationBranch Office Supervision Protecting Your Practice Wednesday, December 2 3:15 p.m. 4:15 p.m.
Branch Office Supervision Protecting Your Practice Wednesday, December 2 3:15 p.m. 4:15 p.m. FINRA panelists review common branch exam findings. Panelists further discuss effective practices in implementing
More informationWireless Communication Device Policy Policy No September 2, Standard. Practice
Standard This establishes the business need and use of cellular phones (hereinafter referred to as wireless communication devices ) as an effective means of conducting City of Richland business, and to
More informationNew York Department of Financial Services Cybersecurity Regulation Compliance and Certification Deadlines
New York Department of Financial Services Cybersecurity Regulation Compliance and Certification Deadlines New York Department of Financial Services ( DFS ) Regulation 23 NYCRR 500 requires that entities
More informationBCN Telecom, Inc. Customer Proprietary Network Information Certification Accompanying Statement
BCN Telecom, Inc. Customer Proprietary Network Information Certification Accompanying Statement BCN TELECOM, INC. ( BCN" or "Company") has established practices and procedures adequate to ensure compliance
More informationAGENCY ALLOWANCE FOR EMPLOYEE-OWNED CELL PHONES
Cell Phone Policy Questions & Answers The questions and answers listed below are based on the new Cell Phone Policy which will go into effect on June 23, 2008. AGENCY ALLOWANCE FOR EMPLOYEE-OWNED CELL
More informationGovernment-issued identification numbers (e.g., tax identification numbers)
Privacy Policy This Privacy Policy explains how the ACMI collects, uses, shares and safeguards Personal Data and Non- Personal Data on www.acmiart.org, mobile websites, microsites, mobile applications,
More informationM T BUCKLEY & Co Chartered Accountants
M T BUCKLEY & Co Chartered Accountants 2 Beulah Walk, Woldingham, Caterham, Surrey CR3 7LL Telephone: 01883 650420 Mobile: 07876 030622 1. PURPOSE OF THIS POLICY PRIVACY POLICY This policy describes how
More informationVERSION 1.3 MAY 1, 2018 SNOWFLY PRIVACY POLICY SNOWFLY PERFORMANCE INC. P.O. BOX 95254, SOUTH JORDAN, UT
VERSION 1.3 MAY 1, 2018 SNOWFLY PRIVACY POLICY SNOWFLY PERFORMANCE INC. P.O. BOX 95254, SOUTH JORDAN, UT 84095-9998 SNOWFLY PRIVACY POLICY This Privacy Policy describes Snowfly s practices regarding the
More informationLink Exhibitions Privacy Policy
Link Exhibitions Privacy Policy 1. Scope All data subjects whose personal data is collected, in line with the requirements of the GDPR. 2. Responsibilities 2.1 The Data Protection Officer / GDPR Owner
More informationNotice to Members. Short Interest Reporting. Executive Summary. Questions/Further Information
Notice to Members APRIL 2006 SUGGESTED ROUTING Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Technology Training KEY TOPICS NASD Rule 3360 Short Interest
More informationLehman College City University of New York Telephone Usage Policy Effective Date: March 1, 2011
Lehman College City University of New York Telephone Usage Policy Effective Date: March 1, 2011 CONTENTS 1.0 Purpose and scope Pg - 2 2.0 Rationale for policy Pg - 2 3.0 Who should read this policy Pg
More informationApplication for Social Entrepreneurship Legal Services Clinic 1
Application for Social Entrepreneurship Legal Services Clinic 1 Application deadline: Please sign (1) this application, (2) the attached acknowledgement and waiver, and (3) the attached name, likeness
More informationMERCHANTS AND FARMERS BANK ONLINE BANKING AGREEMENT AND DISCLOSURE
MERCHANTS AND FARMERS BANK ONLINE BANKING AGREEMENT AND DISCLOSURE Merchants and Farmers Bank has expanded its banking services to utilize the convenience and efficiency of Internet technology and parties
More informationTechTarget Event Sponsorship Terms and Conditions
TechTarget Event Sponsorship Terms and Conditions TechTarget, Inc. ( TechTarget ) and the company listed on the applicable Insertion Order(s) as the sponsor of the Event(s) ( Sponsor ) each agree that
More informationMISSISSIPPI MEDICAID DENTAL ELECTRONIC CLAIMS ENROLLMENT REGISTRATION
220 Burnham Street South Windsor CT 06074 Vox 888-255-7293 Fax 860-289-0055 MISSISSIPPI MEDICAID DENTAL ELECTRONIC CLAIMS ENROLLMENT REGISTRATION PAYER ID NUMBER CKMS1 ELECTRONIC REGISTRATIONS Agreements
More informationDepartment of Veterans Affairs VA DIRECTIVE April 17, 2006 WEB PAGE PRIVACY POLICY
Department of Veterans Affairs VA DIRECTIVE 6502.3 Washington, DC 20420 Transmittal Sheet WEB PAGE PRIVACY POLICY 1. REASON FOR ISSUE: To establish policy for the Department of Veterans Affairs (VA) for
More informationMNsure Privacy Program Strategic Plan FY
MNsure Privacy Program Strategic Plan FY 2018-2019 July 2018 Table of Contents Introduction... 3 Privacy Program Mission... 4 Strategic Goals of the Privacy Office... 4 Short-Term Goals... 4 Long-Term
More informationRECORDS AND INFORMATION MANAGEMENT AND RETENTION
RECORDS AND INFORMATION MANAGEMENT AND RETENTION Policy The Health Science Center recognizes the need for orderly management and retrieval of all official records and a documented records retention and
More informationPART 2 - General Terms and Conditions Original Sheet 1 SECTION 9 - Connections
PART 2 - General Terms and Conditions Original Sheet 1 1. CONNECTIONS OF TERMINAL EQUIPMENT AND COMMUNICATION SYSTEMS TO EXCHANGE SERVICES 1.1. GENERAL PROVISIONS A. GENERAL Customer, or authorized user,
More informationCell Phones PROCEDURE. Procedure Section: Business and Administrative Matters - Purchasing 607-A. Respectfully submitted by:
Matters - Purchasing PROCEDURE Effective: October 13, 2015 Respectfully submitted by: Kathleen O Flaherty, Assistant Superintendent of Business 1. Authorization Individuals may be authorized to receive
More informationOffice Properties Income Trust Privacy Notice Last Updated: February 1, 2019
General Office Properties Income Trust Privacy Notice Last Updated: February 1, 2019 Office Properties Income Trust ( OPI ) is committed to your right to privacy and to keeping your personal information
More informationUniform Biological Material Transfer Agreement
Uniform Biological Material Transfer Agreement UBMTA Implementing Letter for Outbound Einstein Materials The purpose of this letter is to provide a record of the biological material transfer, to memorialize
More informationGENERAL PRIVACY POLICY
GENERAL PRIVACY POLICY Introduction The Australian Association of Consultant Pharmacy Pty Ltd (ACN 057 706 064) (the AACP) is committed to protecting the privacy of your personal information. This privacy
More informationLOGO LICENSE AGREEMENT(S) CERTIPORT AND IC³
LOGO LICENSE AGREEMENT(S) CERTIPORT AND IC³ EXHIBIT B-2 LICENSEE: Address: Attention: Phone: Fax: Email: Account #: CERTIPORT LOGO LICENSE AGREEMENT Authorized Testing Centers This Logo License Agreement
More informationRenewal Registration & CPE for CPAs in Iowa
1. When must I renew my certificate? Renewal Registration Process You must renew your certificate annually with the Iowa Accountancy Examining Board (IAEB). Online renewal is typically available May 15
More informationExhibit A CTA NETWORK A & CTA NETWORK B Market Data Internal and External Redistribution
Exhibit A CTA NETWORK A & CTA NETWORK B Market Data Internal and External Redistribution Thank you for your interest in CTA NETWORK A & CTA NETWORK B market data. This questionnaire is intended to simplify
More informationHousecall Privacy Statement Statement Date: 01/01/2007. Most recent update 09/18/2009
Housecall Privacy Statement Statement Date: 01/01/2007. Most recent update 09/18/2009 Privacy Policy Intent: We recognize that privacy is an important issue, so we design and operate our services with
More informationMailbox Rental Terms and Conditions
Mailbox Rental Terms and Conditions (valid from 26th September 2018) Subject to the customer ("the Customer") observing the Terms and Conditions set out below, Mail Boxes Etc. ("the Company") agrees to
More informationExecutive Summary. The amendments become effective on September 10, The text of the amendments is attached (see Attachment A).
INFORMATIONAL Minor Violations Of Rules And Late Fees SEC Approves Proposed Additions To The List Of Rules Appropriate For Disposition As Minor Violations Of Rules And For The Establishment Of Late Fees
More informationChief Compliance Officer s (CCO s) Role in Cybersecurity Thursday, February 22 10:00 a.m. 11:00 a.m.
Chief Compliance Officer s (CCO s) Role in Cybersecurity Thursday, February 22 10:00 a.m. 11:00 a.m. Increased use of technologies such as mobile devices, social media and cloud computing has increased
More informationRecords Retention Policy
June 21, 2017 Table of Contents 1 Introduction...3 1.1 Purpose...3 1.2 Scope...3 1.3 Review Cycle...3 1.4 Document Owner...3 1.5 Definitions...3 2 Policy...4 2.1 Records and Record Storage...4 2.2 Applicable
More informationExhibit A Questionnaire
Exhibit A Questionnaire Thank you for your interest in NYSE data. This questionnaire is intended to simplify user application requirements while furnishing customers and data providers with the information
More informationEmployee Security Awareness Training Program
Employee Security Awareness Training Program Date: September 15, 2015 Version: 2015 1. Scope This Employee Security Awareness Training Program is designed to educate any InComm employee, independent contractor,
More informationNotice to Members. Forms U4. Executive Summary. Questions/Further Information
Notice to Members SEPTEMBER 2003 SUGGESTED ROUTING Legal & Compliance Operations Registration Senior Management INFORMATIONAL Forms U4 Rule Amendments to Require Member Applicants to File Forms U4 Electronically;
More informationEMPLOYER CONTRIBUTION AGREEMENT
EMPLOYER CONTRIBUTION AGREEMENT This Employer Contribution Agreement ( Agreement ) is entered into by and between, your successors and assigns ( You ) and Oracle America, Inc. ( Oracle ) as of the date
More informationInformation Bulletin
Application of Primary and Secondary Reference Documents Version 1.1 Approved for release July 2014 Table of Contents 1.0 Purpose statement... 3 2.0 Audience... 3 3.0 BCA requirements and referenced documents...
More informationConsumer Online Banking Application
Consumer Online Banking Application SERVICE INFORMATION To apply for consumer online banking services, complete this Online Banking Application, print, sign and return using one of the following options:
More informationApplication and Instructions for Firms
United States Environmental Protection Agency Office of Prevention Pesticides, and Toxic Substances EPA 747-B-99-001 March 2010 https://www.epa.gov/lead Application and Instructions for Firms Applying
More informationProofpoint Enterprise Archive for SEC and FINRA Compliance
DATA SHEET Proofpoint Enterprise Archive for SEC and FINRA Compliance PROOFPOINT PROVIDES FINRA AND SEC REGULATED FIRMS WITH: Simplified Regulatory compliance. Helps firms to meet regulatory requirements
More informationTHE SOUTHERN BAPTIST THEOLOGICAL SEMINARY PORTABLE ELECTRONIC DEVICE POLICY
THE SOUTHERN BAPTIST THEOLOGICAL SEMINARY PORTABLE ELECTRONIC DEVICE POLICY Effective July 15, 2013 1.1 Program Overview The Seminary recognizes the benefit of using cellular phones and other portable
More informationBISHOP GROSSETESTE UNIVERSITY. Document Administration. This policy applies to staff, students, and relevant data subjects
BISHOP GROSSETESTE UNIVERSITY Document Administration Document Title: Document Category: Privacy Policy Policy Version Number: 1.0 Status: Reason for development: Scope: Author / developer: Owner Approved
More informationUniversity of Mississippi Medical Center Data Use Agreement Protected Health Information
Data Use Agreement Protected Health Information This Data Use Agreement ( DUA ) is effective on the day of, 20, ( Effective Date ) by and between (UMMC) ( Data Custodian ), and ( Recipient ), located at
More informationDRAFT. Amendment to Chapter 102 Taxation Article I In General, by adding a new Section titled Omitted Real Property Assessments.
ATTACHMENT #1 Regular LF&A Meeting of August 13, 2007 DRAFT Amendment to Chapter 102 Taxation Article I In General, by adding a new Section 102-4 titled Omitted Real Property Assessments. Sec. 102-4 Omitted
More informationPrivacy Policy. (GDPR compliance)
Privacy Policy (GDPR compliance) Summary This privacy policy sets out the data processing practices carried out by MSE Meeting Rooms. We process personal information through the use of the telephone, a
More informationSchedule Identity Services
This document (this Schedule") is the Schedule for Services related to the identity management ( Identity Services ) made pursuant to the ehealth Ontario Services Agreement (the Agreement ) between ehealth
More informationTERMS AND CONDITIONS FOR THE USE OF THE WEBSITE AND PRIVACY POLICY
TERMS AND CONDITIONS FOR THE USE OF THE WEBSITE AND PRIVACY POLICY Trademarks-Intellectual Property Rights Xtrade BLZ (hereinafter called the Company or we or us) is the owner of the Copyright in the pages
More informationSTRATEGIC COMMUNICATION MANAGEMENT PROFESSIONAL CERTIFICATION
STRATEGIC COMMUNICATION MANAGEMENT PROFESSIONAL CERTIFICATION INSTRUCTIONS FOR COMPLETING AND SUBMITTING YOUR APPLICATION AND DOCUMENTATION Carefully follow the instructions to complete your application.
More informationJune 27, Via Electronic Mail. Federal Trade Commission Office of the Secretary Room H Pennsylvania Avenue, NW Washington, D.C.
June 27, 2005 Via Electronic Mail Federal Trade Commission Office of the Secretary Room H-159 600 Pennsylvania Avenue, NW Washington, D.C. 20580 Re: CAN-SPAM Act Rulemaking, Project No. R411008 Ladies
More informationRegulatory Notice 13-08
Regulatory Notice 13-08 Reporting Requirements FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form Implementation Dates:
More informationFrequently Asked Question Regarding 201 CMR 17.00
Frequently Asked Question Regarding 201 CMR 17.00 What are the differences between this version of 201 CMR 17.00 and the version issued in February of 2009? There are some important differences in the
More informationmanner. IOPA conducts its reviews in conformance with Government Auditing Standards issued by the Comptroller General of the United States.
PCAOB Public Company Accounting Oversight Board 1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8430 www.pcaobus.org The Honorable Christopher Cox Chairman Securities
More informationCyber Risks in the Boardroom Conference
Cyber Risks in the Boardroom Conference Managing Business, Legal and Reputational Risks Perspectives for Directors and Executive Officers Preparing Your Company to Identify, Mitigate and Respond to Risks
More informationUBMTA IMPLEMENTING LETTER. The Research Foundation of State University of New York, Upstate Medical University
UBMTA IMPLEMENTING LETTER The Research Foundation of State University of New York Upstate Medical University The purpose of this letter is to provide a record of the biological material transfer, to memorialize
More informationWIRELESS DEVICES: ACCEPTABLE USE AND GUIDELINES
Goodhue County Education District #6051 WIRELESS DEVICES: ACCEPTABLE USE AND GUIDELINES Procedures Manual Updated January 2016 Table of Contents Overview 3 Definitions 3 General Guidelines 4 Eligibility
More informationWEBSITE PRIVACY POLICY
WEBSITE PRIVACY POLICY INTRODUCTION Welcome to the Octopus Group s privacy policy ( Privacy Policy ) Octopus Group respects your privacy and is committed doing the right thing when it comes to protecting
More information