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Scope of permissible functions of a Compliance Registered Operations Principal (CROP).
Short Sale Netting Requirements and Aggregation Units
Secondary market trading in Select Sector SPDR Funds does not violate Rule 2830(c) and (g).
NASD Rules 6950-6957 (OATS)
Clarification of application of the OATS rules.Application of Rule 2210 to the use of investment projections and marketing material when registered persons are conducting advisory services.
May 29, 1998
Mr. Kenneth W. Perlman
General Counsel
Mayer & Schweitzer, Inc.
111 Pavonia Avenue East
Jersey City, New Jersey 07310
Re: Exemption Pursuant to NASD Rule 2320(g)(2)
Dear Mr. Perlman:
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