Reporting of Criminal Offenses
Effective Date: July 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3070
Reporting Requirements
Executive Summary
On May 15, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3070, concerning the reporting of criminal
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
GUIDANCE
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Technology
Training
NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In light of the recent approval of the new and increased listing standards for The Nasdaq Stock MarketSM (Nasdaq®), the Securities and Exchange Commission (SEC) has again provided an exemption from the filing requirements of SEC Rule 15c2-11 for certain securities
Equity Option Hedge Exemption
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position Limits
Executive
INFORMATIONAL
Revised Forms U4 and U5
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Central Registration Depository
Form U4
Form U5
Statutory Disqualification
Executive Summary
The Securities and Exchange Commission (SEC
New Firm Requirement to Designate a Super Account Administrator
NASDR has filed with the SEC a proposed rule change to amend Rules 9269 and 9360 of the National Association of Securities Dealers, Inc. to eliminate the requirement for personal service of decisions in cases involving bars and expulsions. NASD Regulation is also filing, concurrently, related proposed rule changes in File No. SR-NASD-1998-057.
Please review SR-NASD-1998-057 for:
Amendment No
GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTransaction ReportingTRACEExecutive SummaryOn June 14, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to Rule 6230(a) of the Trade Reporting and
Guidance on Social Networking Websites and Business Communications
