NASD issues this annual publication to assist member firms in their compliance efforts.
ACTION REQUESTED
Public Information Review
Comment Period Expired: December 2, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Public Information Review
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities
SuperMontage
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
SuperMontage
Executive Summary
On May 28, 2002, the Securities and Exchange Commission (SEC) approved amendments made by The Nasdaq Stock Market, Inc
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
