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.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to revise the implementation date of certain amendments to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") rules that were previously proposed by NASD pursuant to SR-NASD-2007-002. Specifically, NASD is proposing to implement the amendments to
INFORMATIONAL
Investment Companies And Variable Contracts
Effective Date: April 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Training
Variable Contracts
Investment Companies
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryArticle VIII, Section 8.32 of the NASD Regulation, Inc. By-Laws (the By-Laws) permits the Secretary of NASD Regulation, in extraordinary circumstances and with the approval of the NASD Executive Committee or the NASD Board of Governors, to adopt additional
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt NASD Rule 3170 to require members to file with NASD, or otherwise submit to NASD, in such electronic format as NASD may require, all regulatory notices or other documents required to be filed or otherwise submitted to NASD, as specified by NASD.
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
NASD Rule 2510 - Discretionary Accounts - A member may use the negative response process under Rule 2510(d)(2)(A) to effectuate the transfer to another money market fund of customer free credit balances that have been returned to the member by a fund that has been terminated.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for 120 days, to December 29, 2005, the provisions of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 (collectively, the "Rules") on a pilot basis, unless extended or permanently approved before that date. The Rules, as approved by the
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6740 to (1) relieve members of the obligation to file with NASD copies of certain information that is electronically accessible through the SEC's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system; and (2) exclude from
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to provide written explanations in arbitration awards upon the request of customers, or of associated persons in industry controversies.
