INFORMATIONAL
Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Consumer Information
SEC Regulation S-P
Executive Summary
In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
INFORMATIONAL
Books And Records Rules
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Books and Records
Exchange Act Rule 17a-3
Exchange Act Rule 17a-4
NASD Regulation Reminds Members To Develop Year 2000 Plans
NASD Regulation, Inc., urges National Association of Securities Dealers, Inc. (NASD®) members to develop and implement an action plan to ensure and achieve Year 2000 compliance. The scope of Year 2000 plans should extend to all information technology systems (internal and external) used to conduct a securities business and other
