NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2340 to relieve members from the requirement to send quarterly account statements to customer accounts that are carried solely for the purpose of delivery versus payment and receive versus payment ("DVP/RVP") transactions, provided certain
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt NASD Rule 3170 to require members to file with NASD, or otherwise submit to NASD, in such electronic format as NASD may require, all regulatory notices or other documents required to be filed or otherwise submitted to NASD, as specified by NASD.
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
ACTION REQUESTED
Proposed Recordkeeping And Reporting Requirements Of Certain Quotations
Comment Period Expires: April 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
OTC Securities
Recording And Reporting Quotation Data
Market Making
Executive Summary
NASD Regulation, Inc. (NASD
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3080 (Disclosures to Associated Persons When Signing Form U-4) to correct the reference to the name of the Form U4 (Uniform Application For Securities Industry Registration or Transfer) and the location of the predispute arbitration clause in the Form U4
REQUEST FOR COMMENT
Disclosure of Mutual Fund Expense Ratios in Performance Advertising
Comment Period Expires: January 23, 2004
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Senior Management
Advertising
Mutual Fund Expenses
Investment
SEC Approves Changes To Rule 4613—Firm Quotation Requirements; Effective Date: August 2, 1999
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
<p>Based on certain representations and compliance with the requirements of SEC Rule 17a-4(i), third party may provide recordkeeping services to its NASD member clients, such that the member clients would not be required to individually download and separately retain copies of documents required pursuant to Rule 2790(b).</p>
Comment Period Expires: October 31, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is seeking from members, associated persons, and others, comments on the procedures for obtaining injunctive relief and expedited proceedings under Rule 10335 of the
GUIDANCEExemptions to Reporting Requirements of Rule 3150Effective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementClearing FirmsExemptions to the Reporting Requirements of Rule 3150IM-3150National Examination Program (NEP) Surveillance (formerly referred to as INSITE)Rule 3150Executive SummaryThe Securities and Exchange
