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Executive Summary
The purpose of this Notice is to advise members of the impending election to fill forthcoming vacancies on the District Committee and next year's District Nominating Committee and to communicate with all members the procedures to fill these vacancies. The procedures are described in detail in Exhibit A: 1998 District Election Procedures.
This Notice also serves to advise
GUIDANCEShort SalesSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementTradingAffirmative DeterminationRule 3370(b)(2)(B)Rule 3370(b)(5)(B)Short SalesExecutive SummaryThere has been discussion in the financial press about the listing of securities on foreign markets without a company's knowledge or authorization. Some reports have suggested that the
INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
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 of its own
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply With Rule Requirements
• Failure to Display Minimum Size in NASDAQ Securities, CQS
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
Upcoming FINRA Board of Governors Election
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Trading and Markets
Debt Securities
OperationsRule 7000 Series
TRACE Rules
Executive Summary
On March 6, 2007, the Securities and Exchange Commission approved an amendment to Rule 7030 relating to the availability of TRACE
Year 2000 Update
INFORMATIONAL
2007 Trade Date—Settlement Date Schedule
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Municipal/Government Securities
Operations
Trading and Market Making
Holiday Trade Date—Settlement
Date Schedule
Martin Luther King, Jr., Day:
The NASDAQ Stock Market® and the securities exchanges will be closed on Monday, January 15,
GUIDANCE
Gifts and Gratuities
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Gifts
GratuitiesRule 3060
Executive Summary
As a result of a recent review of gift and gratuity practices at member firms, NASD has become aware of several