TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENTS: SEPTEMBER 15, 1986.
The National Association of Securities Dealers, Inc. (NASD), requests comments on proposed revisions to Schedule D of the NASD By-Laws. Schedule D governs the operations of the NASDAQ System. The text of the proposed revisions is included as Attachment I. The text of the current Schedule
Last Voting Date: April 23, 1993"
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed concept for the continuing
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has issued its views on frequently raised interpretive questions
ROUTE TO
Senior Management
Legal & Compliance
Operations
Other
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would
TO: All NASD Members and Interested Persons
ATTN: Registration, Training and Compliance Personnel
The subject matter of various NASD qualification examinations has been affected by the passage of the Tax Reform Act of 1984 (the "Act") as well as by recently adopted amendments to certain SEC and NASD rules. The test items affected by these changes have been deleted from the current test
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a
Summary
FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).
Questions concerning this Notice should be directed to:
Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
Blake Snyder, Senior Director, Member
