SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved an amendment to Article HI, Section 21 of the NASD Rules of Fair Practice to require the marking of customer order tickets for
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
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS AUGUST 6, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposal to amend recently adopted Article III, Section 26(m) of the NASD Rules of Fair Practice. (See Notice to Members 86-54, dated July 30, 1986.) The proposed amendment to Section 26(m) would limit the circumstances under
TO: All NASD Members and Interested Persons
LAST DATE FOR COMMENT: MAY 1, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article V, Section 1 of the NASD Rules of Fair Practice. The amendment would remove the current limitation of $15,000 that a member or a person associated with a member could be fined for each violation of the Rules of Fair Practice.
The NASD
TO: All NASD Members and Other Interested Persons
On December 19, 1985, the Securities and Exchange Commission approved a new Article III, Section 41 of the NASD Rules of Fair Practice (SEC Release No. 34-22731). The rule establishes a new requirement for members to maintain a record of their total "short" positions in NASDAQ securities in all customer and proprietary firm accounts and
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Registered Representatives
Senior Management
Systems
Trading
Foreign Securities
American Depositary Receipts (ADRs)
Trade Reporting
Trade Reporting of Foreign Securities
Executive Summary
NASD is publishing this Notice to provide members with guidance on trade reporting issues involving transactions in
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTechnologyTradingand MarketsTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting
GUIDANCE
Transaction Reporting
Executive Summary
On November 16, 2006, the Securities and Exchange Commission approved an amendment to Rule 6230 (Transaction Reporting).
GUIDANCE
Web Site References to NASD
Membership by Member Firms
SUGGESTED ROUTING
KEY TOPICS
Advertising
Legal & Compliance
Operations
Senior management
Hyperlink
NASD Interpretive Material 2210-4
Rule 2210
Web Site
Executive Summary
On November 9, 2006, the Securities and Exchange Commission
(SEC) approved an amendment to Interpretive Material 2210-4
(IM-2210-4
GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 6950–6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities
GUIDANCE
Short Interest Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Short Interest
Rule 3360
Executive Summary
On February 3, 2006, the Securities and Exchange Commission (SEC)
approved amendments to Rule 3360 relating to the short interest
reporting
