INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and
INFORMATIONAL
Interval Funds
Effective Date: June 20, 2000
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Mutual Fund
Registered Representatives
Mutual Funds
NASD Rule 2710
NASD Rule 2830
Underwriting Compensation
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of Securities Dealers
INFORMATIONAL
Ex-Dividend Dates
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Ex-Dividend Dates
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Uniform Practice Code (UPC) governs, among other things, the designation of "ex-dividend dates" (
INFORMATIONAL
Arbitration Awards
Effective Date: September 18, 2000
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KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Arbitration Awards
Motions To Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
To respond to concerns raised by the General Accounting Office, NASD Dispute Resolution,
INFORMATIONAL
Code Of Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Code Of Procedure
Disciplinary Action Appeals
Document Production
Eligibility and Qualification Standards
Failure to
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of July 20, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
CHCG.GE
Charter Comm Hldgs Cap Corp
INFORMATIONAL
Trade Date — Settlement Date
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KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday,
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 15, 2000
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KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill three upcoming vacancies on the National Adjudicatory Council (NAC). The
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm, was not an MFP, and did not anticipate an employment relationship with the firm; the firm already had a significant business relationship with the City of which the contribution recipient is an issuer official (as defined); the individual has attempted to obtain the return of the contribution; the firm has instituted barriers and controls around certain municipal business communications; and the individual will be prohibited from any involvement in municipal securities business with the City for a period of time.
ACTION REQUESTED
Rule Modernization Project
Response Period Expires on: March 1, 2002
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KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Annual Compliance Conference
Branch Office
