GUIDANCE
Life Settlements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Variable Life Settlements
Variable Insurance Policies
Suitability
Best Execution
Rule 3010
Executive Summary
Sales of existing life insurance policies to third parties—often
referred to as "life settlements"—have grown exponentially in
recent years, and
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-
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
Supervision
Rule 2711
Rule 3010
Background
In December 2005, the New York Stock Exchange (NYSE) and NASD
(the
GUIDANCE
Qualification Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
ACTION REQUIRED
NASD Rule 3070 System Requirements
SUGGESTED ROUTING
KEY TOPICS
Chief Compliance Officer
Legal and Compliance
Operations
Senior Management
NASD Rule 3070 System Requirements
Executive Summary
NASD Rule 3070(c) requires members to report to
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Research
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
NASD has received multiple requests to broaden the provision of
previously non-public historic
REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary
GUIDANCE
NAC Nominations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members
of the nomination procedures to fill two upcoming vacancies on the
National Adjudicatory Council (NAC). The three-year terms of the
NAC regional Industry members from
GUIDANCE
Fee Increase for Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Extension of Time Requests
Fees
Regulation T
Schedule A to NASD By-Laws
SEC Rule 15c3-3
Executive Summary
On May 15, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate
