SUGGESTED ROUTING*
Senior Management Corporate FinanceLegal & Compliance Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Com mission (SEC) has approved an amendment to the NASD Uniform Prac tice Code that requires syndicate managers of public offerings to provide itemized expense statements to
TO: All NASD Members and Other Interested Persons
ATTN: Corporate Financing Department
The Board of Governors has adopted amendments to the filing requirements of the Interpretation of the Board of Governors — "Review of Corporate Financing," which will be effective on March 1, 1985. The text of the amendments is attached to this notice. The amendments will exempt from the filing
NASD Rule 2420 - Dealing with Non-Members
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
The NASDAQ market has over the past several years experienced a sustained period of growth which in many ways is attributable to the use of technologically advanced facilities and systems that have served to enhance the quality of this marketplace. The significant growth and visibility of the NASDAQ market, along with the
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has recently approved amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice that relates to minimum margin requirements for option contracts on a market or industry index. These amendments which became effective on April 13, 1984 establish minimum
SEC Approves Consolidated FINRA Best Execution Rule
Upcoming District Committee and District Nominating Committee Elections
GUIDANCE
Corporate Financing Fee
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal and Compliance
Senior Management
Operations
Corporate Financing
Fees
Public Offerings
Rule 2710
Rule 2720
Schedule A to NASD By-Laws
Well-Known Seasoned Issuers (WSKIs)
Executive Summary
On January 24, 2007, NASD filed with the Securities and Exchange
Commission (SEC) for immediate
GUIDANCE
Option Disclosure Documents
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Options
Institutional
Senior Management
Trading
Disclosure Documents Delivery
Characteristics and Risks of
Standardized Options
Special Statement for Uncovered
Option Writers
Options
Rule 2860
Executive Summary
On August 17, 2006, NASD filed with the Securities and Exchange
Commission (
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
