I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members And Interested Persons
LAST VOTING DATE IS NOVEMBER 21, 1983
Attached are amended By-Laws of the Association which are being submitted to the membership for a vote. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings
OATS Phase III Frequently Asked Questions
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
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 30, 1988.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to Schedule E to the NASD By-Laws relating to the definition of a qualified independent underwriter. A qualified independent underwriter is required by Schedule E to establish the price and conduct due diligence in public offerings of
Year 2000 Update Reminder To Members About SEC Filing Requirements
The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63.
The new reports relate to each member's readiness and
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 5, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National Adjudicatory Council (NAC). The
A list of frequently asked questions related to UPC.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved an amendment to the definition of qualified independent underwriter
