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SR-NASD-1999-063
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed a proposed rule change to amend NASD Rule 2260 to conform to Rules 451 and 452 of the New York Stock Exchange and Rules 576 and 577 of the American Stock Exchange by permitting members to give proxies in absence of written instructions from beneficial owners in certain circumstances.
Notice To Members 94-23
SUGGESTED ROUTING Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems Executive Summary On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
Notice to Members 99-42
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Notice to Members 99-12
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Notice to Members 99-17
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary On December 21, 1998,
Interpretive Letter to Amal Aly, SIFMA (Reasonable and Customary Bereavement Gifts)
<p>NASD Rule 3060 - Influencing or Rewarding Employees of Others</p>
Notice to Members 99-69
Comment Period Expires September 30, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts
Regulatory Notice 14-16
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice to Members 97-68
Effective Date: September 4, 1997 SUGGESTED ROUTING Corporate Finance Legal &amp; Compliance Syndicate Executive Summary On September 4, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the definition of "qualified independent underwriter" in Rule 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules
Regulatory Notice 13-33
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update