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Notice to Members 98-23
SUGGESTED ROUTING Senior Management Continuing Education Legal & Compliance Registration Training     Executive Summary     Members are advised that the National Association of Securities Dealers, Inc. (NASD®) has filed a proposed rule change to its Membership and Registration Rule 1120 (
Notice to Members 99-105
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Trade Date-Settlement Date Schedule The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
Notice to Members 00-23
INFORMATIONAL Bond Mutual Fund Volatility Ratings SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Executive Representatives Legal & Compliance Mutual Fund Registered Representatives Senior Management
Notice to Members 05-78
GUIDANCE OATS Reporting Requirements Effective Date: May 8, 2006 SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training OATS Rules 6950–6957 Executive Summary On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950 through 6957
Notice to Members 99-11
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 03-41
INFORMATIONAL Fingerprint Processing Fees Implementation Date: July 15, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Fingerprint Processing Fees NASD By-Laws Executive Summary This Notice supersedes NASD Notice to Members 03-39. NASD is issuing this Notice to
MSRB Report Cards
Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
SR-NASD-2003-097
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on June 30, 2003. NASD is proposing to extend the pilot program for TRACE fees to January 31, 2004. NASD is not proposing any revisions to the current fee structure for TRACE as part
Notice To Members 93-47
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceOperationsSystems Executive Summary On May 18, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that permits broker/dealers to use optical storage technology(OST) to comply with the records retention requirements of SEC Rules 17a-3 and 17a-4. The letter, which was issued by the SEC
Frequently Asked Questions (FAQ) about the Trade Reporting and Compliance Engine (TRACE)
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)