This OATS Report is being issued to update guidance on the OATS reporting requirements for the use of the Account Type Code value of "X"- Error Account previously published on August 4, 2008.
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The Securities and Exchange Commission (
Assessments and fees pursuant to the provisions of Article VI of the By-Laws of the Corporation shall be determined on the following basis.
Amended by SR-FINRA-2008-001 eff. Jan. 1, 2008.
Amended by SR-NASD-2002-162 eff. Dec. 24, 2002.
Amended by SR-NASD-2002-98 eff. July 24, 2002.
NASD Encloses New Guide to Information and Services
With this issue of Notices to Members, NASD members are receiving the new edition of the NASD Guide to Information and Services. The Guide is arranged by subject headings and includes the names and phone numbers for NASD contacts on each subject.
Date Changes for January First Saturday Examination
The date for the January 1991 first Saturday
Sec. 9. (a) Except as otherwise provided in these By-Laws, the Nominating Committee shall nominate and, in the event of a contested election, may, as described in Section 11(b), support: Large Firm, Mid-Size Firm, Small Firm, Public, Floor Member, Independent Dealer/Insurance Affiliate and Investment Company Affiliate Governors for each such vacant or new Governor position on the Board
SUGGESTED ROUTING
Senior ManagementAdvertisingInternal AuditLegal & ComplianceMutual Fund
Executive Summary
On July 12, 1994, the Securities and Exchange Commission (SEC) approved amendments adopting Guidelines to Article III, Section 35 of the NASD Rules of Fair Practice that prohibit members from using investment company rankings in advertisements and sales literature unless
INFORMATIONAL
2007 Trade Date—Settlement Date Schedule
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Municipal/Government Securities
Operations
Trading and Market Making
Holiday Trade Date—Settlement
Date Schedule
Martin Luther King, Jr., Day:
The NASDAQ Stock Market® and the securities exchanges will be closed on
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market Inc., began operation of the Fixed Income Pricing SystemSM known as FIPSSM for members trading high-yield bonds. FIPS was created to facilitate the over-the-counter trading of
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number
