Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal &
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of September 22, 2000, the following bonds were added to the Fixed Income Pricing System,SM (FIPS®).
Symbol
Name
Coupon
Maturity
ADLA.GQ
Adelphia Communications
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
Thanksgiving Day: Trade Date-Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Thursday,
FIPS
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
FIPS
As of May 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ENQ.GD
Amer Media Operations Inc.
10.250
05/01/09
ACVC.GA
American Achievement Corp. Ser B
11.625
01/01/
INFORMATIONAL
Three Quote Rule
Effective Date: November 24, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Best Execution
NASD Rule 2320
NASD Rule 3110
Trading
Executive Summary
On September 21, 2000, the Securities and Exchange Commission (SEC) approved amendments to National
INFORMATIONAL
Riskless Principal Trade Reporting
Riskless Principal Trade-Reporting Rules Will Be Implemented On February 1, 2001
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualifications
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Technology
Trading & Market Making
Training
Riskless Principal
Trade Reporting
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, September 2, 2002, in observance of Labor Day. "Regular way"
INFORMATIONAL
Mediation Filing Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registration
Senior Management
Central Registration Depository
Mediation Fees
Executive Summary
Effective February 14, 2003, NASD will begin to deduct unpaid mediation filing fees owed by member firms from members' Central Registration Depository (CRD) accounts. NASD will
