SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1994-95 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for NASD personnel assessments, NASD branch-office fees, New York Stock
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, September 16, 1996. The information relating to matters contained in this section is current as of September 5, 1996. Information received subsequent to September 5, 1996, is not reflected in this section.
Firm Expelled, Individual Sanctioned
Banc Street Securities, Inc. (Milwaukee, Wisconsin) and Gerald
INFORMATIONAL
Taping Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3010
IM-8310-2
Taping Rule
Executive Summary
On August 28, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3010(b)(2), also known as the Taping Rule, and NASD
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure ("Code") of the National Association of Securities Dealers, Inc. ("NASD" or "Association") to extend the effectiveness of the rule for one year, pending Commission action on a pending rule
SUGGESTED ROUTING*
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Schedule C of the By-Laws that establishes waiting
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a
SUGGESTED ROUTING*
Senior ManagementLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
At its July 1988 meeting, the NASD Board of Governors voted to amend the Code of Procedure so as to reduce, from three to two persons, the minimum number of persons required for hearing panels for cases before District Business
GUIDANCE
Business Continuity Planning
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Information Technology
Legal & Compliance
Operations
Senior Management
Training
Business Continuity Planning
Rule 3500 Series (Emergency
Preparedness)
Executive Summary
In May 2004, NASD issued Notice to Members 04-37 regarding
REQUEST FOR COMMENT
Prohibition of Certain Bank Tying Arrangements
Comment Period Expires: October 21, 2002
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Senior Management
Investment Banking
Just and Equitable Principles of Trade
NASD Rule 2110
Discussion
NASD is concerned that the practice of tying commercial credit to investment banking
