NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to 1) amend Rule 6230 to initiate a two-year pilot program exempting certain TRACE-eligible securities from reporting requirements that otherwise would apply, and 2) amend Rule 6210 and 6230 to reflect the registration of the Nasdaq Stock Market, Inc. as a national
NASD Regulation, Inc., has filed with the SEC a proposed rule change to establish July 1, 2002 as the effective date for the new Rule 6200 Series ("TRACE Rules"). The TRACE Rules, when effective, will require NASD members to report secondary market transactions in eligible debt securities to the NASD and will subject certain transaction information to dissemination. The NASD also is
Continuing Education Planning
GUIDANCE
Manning Obligations
Effective Date: January 2, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Limit Orders
Manning Rule
Executive Summary
On August 4, 2005, the Securities and Exchange Commission (SEC) approved amendments to Interpretive Material (IM)-2110-2, Trading Ahead of Customer Limit
This request for exemptive relief is granted based on the Firm's representation that the Contributions were made prior to the individual's employment with the Firm, and that the individual was never engaged in municipal securities business, as defined by MSRB Rule G-37 ("Rule"), and the individual has never solicited municipal securities business from the City or City agencies of whom the Contribution recipients are issuer officials. The Firm agreed to institute certain information barriers, the individual will, for a period of time, be prohibited from soliciting municipal securities business as defined by the Rule, and the individual may not receive any compensation derived directly or indirectly from municipal securities business from City or certain City agencies for a period of time.
Joint NASD and NYSE interpretation that individuals involved in the development of certain quantitative equity research ratings model are not “research analysts” as defined by the SRO research analyst conflict of interest rules.
Continuing Education Planning
Restructured Qualification Examinations and Related Examination Fees
NASDR has filed with the SEC a proposed rule change to change the effective date of SR-NASD 98-29, which amended Rule 2210 of the Conduct Rules of the NASD to require that written or electronic communications prepared for a single customer be subject to the general standards and those specific standards of Rule 2210 that prohibit misleading statements.
The Series 86 and 87 exams — the Research Analyst Exams — assess the competency of an entry-level registered representative to perform their job as a research analyst.
