Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing
An exemption is granted based on the following considerations. First, you have represented that Name, prior to being hired by the Firm, was not engaged in the solicitation of municipal securities business, as defined in the Rule. Second, you have represented that the Firm has a long relationship as an underwriter of municipal securities for the State and State agencies, and neither the hiring of Name nor his Contribution was necessary to obtain municipal securities business from such issuers. Third, the Firm has agreed to institute preventive information barriers to help avoid the potential for conflicting interests to exist and be used, or appear to be used, by the Firm or Name to obtain municipal securities business or compensation or other financial benefits related to such business.
NASD Rule 2510 - Discretionary Accounts - A member may use the negative response process under Rule 2510(d)(2)(A) to effectuate the transfer to another money market fund of customer free credit balances that have been returned to the member by a fund that has been terminated.
Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) and NASD Rule 2111 (Trading Ahead of Customer
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested
election for membership on the District Committee for District 7. Six
candidates were seeking to fill the three open seats on the District
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
May 31, 2005
NASDAQ has recently enhanced the SuperMontage order modification process to allow for, among other things, the price of an order to be changed without having to cancel the original order and submit a new order.1 This enhanced order modification process impacts members' OATS obligations when reporting order modifications for orders that have been routed to SuperMontage. 
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee
