SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved new Section 43 to Article III of the NASD Rules of Fair Practice. The new section prohibits all persons associated with a member in any registered capacity from accepting employment or
GUIDANCE
Fee Increase for Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Extension of Time Requests
Fees
Regulation T
Schedule A to NASD By-Laws
SEC Rule 15c3-3
Executive Summary
On May 15, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate
GUIDANCE
Charitable Contributions
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Charitable Giving
Charitable Solicitation
Executive Summary
The solicitation of substantial charitable contributions by employees
or agents of a customer acting in a fiduciary capacity raises
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 21, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,993. These 20 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
March 15, 2006
New Market Center Code Effective June 1, 2006
Reporting Requirements for Orders Transmitted Between NASD-only and NASDAQ-only members
On January 13, 2006, the Securities and Exchange Commission (SEC) approved NASDAQ's application to register as a national securities exchange.1 NASDAQ is currently working with the SEC to determine the operational date
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On February 16, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicate
Executive Summary
The NASD requests comment on proposed amendments to the Free-Riding and Withholding Interpretation under Article III, Section 1 of the Rules of Fair Practice. These amendments would change a number of the Interpretation's provisions. The complete text of the
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
LAST DATE FOR COMMENT: NOVEMBER 21, 1985
The NASD's Direct Participation Programs and Real Estate Committees are concerned that abuses exist in the content of advertising and sales literature used for public direct participation programs. The Committees and the NASD's Board of Governors
GUIDANCE
Research Analysts and Research
Reports
Compliance Date: June 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Communications with the Public
Investment Banking
Research Analysts
Executive Summary
The Securities and Exchange Commission (SEC) has
SUGGESTED ROUTING*
Senior Management Corporate Finance SyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to the NASD's request, the Securities and Exchange Commission (SEC) has adopted Rule 10b-21 to prohibit persons from purchasing securities out of a public offering to cover short sales executed after the
