Y2000 Update - November 1998
November 1998
Mandatory Testing
November 1998
Mandatory Testing
National Association of Securities Dealers, Inc.
Notice Of Meeting And Proxy
The Annual Meeting of members of the National Association of Securities Dealers, Inc. ( NASD®) will be held on December 21, 1998, at 9:30 a.m., at the Carlton Hotel, 16th & K Sts. N.W., Washington, D. C.
The items of business to be considered at the Annual Meeting are:
SUGGESTED ROUTING |
Senior Management |
Executive Summary
December 1998
SEC 1999 BD-Y2K Independent Public Accountant's Report
Treasury Makes New Mailing Lists Available Via The Internet
Recently, the U.S. Department of Treasury (Treasury) allowed interestedparties to sign up for the followingtwo new mailing list notificationpages via the Bureau of the PublicDebt's Web site:
SUGGESTED ROUTING |
Senior Management |
Executive Summary
January 1999
Contingency Planning
Wire Transfer Of Corporate Financing Fees
The Corporate Financing Department of NASD Regulation, Inc. (NASD RegulationSM) will now accept the payment of the Corporate Financing filingfee by wire transfer. (The Department will continue to accept checks or money orders, too.) To obtain the necessary information for wire transfers, please contact the Compliance Unit of the Corporate Financing Department at (202) 974-2700.
February 1999
Year 2000 Legal Update
As we rapidly approach the Year 2000, there are some legal issues that all member firms should consider. Following is important information on disclosure requirements.
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status