GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 6950–6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities
New Member Applications
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
New Member Applications
Rule 1013
Rule 1014(a)
Standardized Application Form
Executive Summary
NASD is issuing this Notice to inform
GUIDANCE
Exemptive Relief from the OATS Electronic Recording and Reporting Requirements; Enhancements to the OATS Web Interface
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Training
OATS
Rule 6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78
announcing Securities and
GUIDANCE
Short Interest Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Short Interest
Rule 3360
Executive Summary
On February 3, 2006, the Securities and Exchange Commission (SEC)
approved amendments to Rule 3360 relating to the short interest
reporting
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members reminds member firms that by March 31,
2006, they must complete validation of certain data fields that
firms submit to the Electronic Blue Sheet (EBS) System, as directed
in Notice to Members 05
GUIDANCE
Annual Compliance and Supervision Legal & Compliance Certification
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsRegistered RepresentativesSenior ManagementTraining
IM-3013 (Annual Compliance and Supervision Certification)
Executive Summary
The Securities and Exchange Commission (SEC) has approved
GUIDANCE
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD members of modifications to the NASD
Sanction Guidelines (Guidelines). NASD is amending the quality of
markets guidelines and the guidelines for violations of
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On February 16, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until
GUIDANCE
Active Military Service
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
Training
Active Military Duty
Continuing Education
IM-1000-2
Inactive Status
Registration Requirements
Rule 1021(c)
Rule 1031(c)
Rule 1041(c)
Transaction-Related Compensation
Executive Summary
On
GUIDANCE
Anti-Money Laundering Compliance
Programs
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
IM-3011-1
IM-3011-2
Rule 3011
Executive Summary
On December 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 3011 and the adoption
of IM-3011-1 and IM-
