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SR-NASD-2006-007
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 to:  (a) revise the definition of the term "underlying index" to include all indexes underlying standardized index options and other indexes that meet certain specified criteria; and (b) allow members to calculate the position limits,
Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Notice to Members 04-91
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing Rule–Underwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710 (Corporate FinancingRule–Underwriting Terms and Arrangements)Schedule A to
SR-NASD-2004-137
Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information
Notice to Members 01-72
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
Notice to Members 05-70
GUIDANCE Qualification Examinations Implementation Date: November 30, 2005 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Training Limited Principal—General Securities Sales Supervisor (Series 9/10) Limited Principal—Registered Options (Series 4) Limited Representative—Investment Company and Variable Contracts Products (Series 6) Rule 1022(f) Rule 1022(g
SR-NASD-2000-065
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to: (1) amend NASD Rule 10334 of the Code of Arbitration Procedure ("Code") to accelerate the expiration date of the rule from August 1, 2002 to December 31, 2000; (2) to delete paragraph (i) of Rule 10205, Schedule of Fees for Industry and Clearing Controversies
Regulatory Notice 09-48
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises
NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
Notice to Members 05-30
GUIDANCE Denial of Access Complaints Compliance Date: May 26, 2005 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Market Making Operations Senior Management Trading Access to Quotations Alternative Display Facility Market Regulation Executive Summary On March 10, 2005, the Securities and Exchange Commission (SEC)