REQUEST FOR COMMENT
Research Analysts and Research Reports
Comment Period Expires: August 30, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Investment Banking
Research Reports
Small Firms
Executive Summary
On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711,
Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
NASD has filed with the SEC a proposed rule change to adopt new Interpretive Material ("IM") to NASD Rule 2210(d)(2)(N) to allow NASD member firms to use certain investment analysis tools that show the probability that investing in specific securities or mutual funds may produce a desired result.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Registered Representatives
Senior Management
Systems
Trading
Foreign Securities
American Depositary Receipts (ADRs)
Trade Reporting
Trade Reporting of Foreign Securities
Executive Summary
NASD is publishing this Notice to provide members with guidance on trade reporting issues involving transactions in
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
GUIDANCE
SUGGESTED ROUTINGKEY TOPICS
Legal and ComplianceOperationsSenior
ManagementService Bureaus/Providers
Form NMANew Member ApplicationsRule 1012Rule 1013Standardized Online Application Form
New Member Applications
Executive Summary
NASD is issuing this Notice to inform members and applicants for membership of amendments to Rules 1012 (General Provisions) and 1013 (New Member
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3011 to require each member to provide to NASD contact information for the individual or individuals responsible for implementing and monitoring the day-to-day operations and internal controls of the member’s anti-money laundering ("AML") compliance program ("AML Program").
This rule filing was withdrawn and replaced by SR-NASD-2003-19.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding suggested rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
