Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
Year 2000 Update Reminder To Members About SEC Filing Requirements
The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63.
The new reports relate to each member's readiness and
New Investment Advisers' Qualification Exams Now In Use
Two qualification examinations for investment advisers have recently been updated. New versions of the Series 65 (Uniform Investment Adviser Law Exam) and Series 66 (Uniform Combined State Law Exam) exams became effective on January 1, 2000. The revised Series 65 covers economics, investment vehicles, and investment strategies, as well
Important Year 2000 Information
Based on milestones published by the Securities Industry Association (SIA), securities firms at this time should have a comprehensive Year 2000 program plan in place and be actively certifying third-party products and service providers for Year 2000 readiness. Firms also need to begin completing the repairs to any of their internal applications and testing these
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
For Your Information
National Association of Securities Dealers, Inc.
May 1989
Test Site Changes for May in Kansas, New York, Georgia, and Florida
New PLATO Test Centers in Kansas
Effective May 1, 1989, Control Data PLATO Development Centers began operating at the following locations:
Farmers State Bank Building, 718 MainStreet, Suite 202, Hays, KS 67601 (913) 232-1690.
Epic Office
For Your Information
National Association of Securities Dealers, Inc.
June 1989
Test Date and Site Changes for June and July Examinations Announced
July First Saturday Date Change
The first Saturday exam session date for July has been changed to July 8, 1989, for all test centers because of the Independence Day holiday that falls after the first weekend of the month.
Requests for
Summary
This Notice provides information to assist market participants in understanding the short sale volume data published on FINRA’s website. FINRA is aware that some market participants, including investors, may occasionally perceive the percentage of short sale volume to be unusually high or inconsistent with reported short interest data. This perception may cause market participants to
For Your Information
Final Renewal Statements
Member firms' Final Renewal Statements became available in Web CRD on January 2, 2001. All payments or requests for refunds must be received by March 16, 2001. Final Renewal Statements can be retrieved under the "Renewals" menu item in Accounting. Also, all Final Renewal Rosters are available in Web CRD for viewing and printing in
NASD 2002 Renewals Program
Member firms' Final Renewal Statements became available in Web CRD on January 2, 2002. All payments or requests for refunds must be received by March 15, 2002. Final Renewal Statements can be retrieved under the "Renewals" menu item in Accounting. Also, all Final Renewal Rosters are available in Web CRD for viewing and printing in the firm's
