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INFORMATIONALAmendments to Section 4 of Schedule A to the NASD By-LawsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementForms U4 and U5Late FeesSection 4 of Schedule A to the NASD By-LawsExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 4 of Schedule A to the NASD By-Laws establishing a
INFORMATIONAL
Imposition And Collection Of Monetary Sanctions
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
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 organizational structure.
Executive Summary
The purpose of this
INFORMATIONAL
Arbitration Fees
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Senior Management
Arbitration
CRD Account
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 organizational structure.
Executive Summary
Effective November 1, 1999, the
GUIDANCE
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Systems
Trading
Alternative Display Facility
IM-4613A-1
Multiple Market Participant
Identifiers
Registered Reporting ADF ECNsRule 4613A
Executive Summary
On August 8, 2006, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness a rule
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Trading
Registered Representatives
Senior Management
Trading Activity Fee
NASDAQ Exchange Registration
Executive Summary
On July 5, 2006, The NASDAQ Stock Market, Inc. ("NASDAQ")
announced that it would begin to operate as a national securities
exchange on August 1, 2006 for NASDAQ-listed
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Fixed Income
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Research Conflicts of Interest
SEC Regulation Analyst Certification
SupervisionRule 2711Rule 3010
Background
In December 2005, the New York Stock Exchange (NYSE) and NASD
(the SROs) issued
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
OperationsRule 6200 Series
Transaction Reporting
Executive Summary
On June 18, 2003, the Securities and Exchange Commission (SEC or
SEC Approves Extension to IM-10100 Pilot
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Registered Representatives Registered Principals Senior Management
Arbitration Associated Persons California Disclosure Standards Members
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved an extension to a pilot program
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training
Debt Securities Dissemination OperationsRule 6200 Series Transaction Reporting
Executive Summary
On January 31, 2003, the Securities and Exchange Commission (SEC or Commission) approved an amendment to
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor