SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On December 19, 1997, the Securities and Exchange Commission (SEC or Commission) approved various amendments to the Rules of the National
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
On September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified disclosure statement that discusses the operation of margin accounts and the risks associated with trading on margin. Members would be permitted to develop an alternative margin
INFORMATIONAL
Arbitration Awards
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Arbitration Awards
Motions to Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
In August 2000, the National Association of Securities Dealers, Inc. (NASD®) published Notice to Members 00-55 which announced that NASD Dispute
INFORMATIONAL
Mediation Fees
Effective Date: November 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Dispute Resolution
Mediation
Executive Summary
On August 11, 2000, the Securities and Exchange Commission (SEC) approved a change to the Code of Arbitration Procedure (Code) to permit NASD Dispute Resolution, Inc., (NASD Dispute
INFORMATIONAL
Primex Auction System
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Trading Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and Nasdaq® Boards have agreed to establish the Primex Auction SystemTM, a new trading system designed to
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)
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
BIOB.GA
Bio-Rad Laboratories Inc.
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Columbus Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the
