SUGGESTED ROUTING
Senior Management
Continuing Education
Institutional
Legal & Compliance
Operations
Registered Representatives
Systems
Trading
Training
Executive Summary
On September 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD® or Association) rules regarding
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceOperationsSystemsTrading
Executive Summary
On December 23, 1993, the Securities and Exchange Commission (SEC) issued an order approving amendments to the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). The new rules prohibit short sales in SOES; reduce the largest eligible SOES order
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Revised Fee for Fingerprint Processing
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceOperationsSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Part i of Schedule D to the NASD By-Laws that provide new and separate fee structures for Nasdaq issuers. The new fees went into effect January 2, 1991.
GUIDANCEResearch Analysts and Research ReportsEffective Date: March 30, 2004SUGGESTED ROUTINGKEY TOPICSContinuing EducationExecutive RepresentativesLegal & ComplianceRegistered RepresentativesRegistrationResearchSenior ManagementTrainingRegistrationResearch ReportsExecutive SummaryThe Securities and Exchange Commission (SEC) recently approved amendments to NASD rules to finalize and
Change for Scheduling Exam and CE Sessions
Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date is January 9, 1984
Attached are amendments regarding two separate issues which are being submitted to the membership for a vote. The first issue is that of amendments to the proposed Corporate Financing Rule filing requirements which would exempt from those requirements all debt and equity
