INFORMATIONAL
NAC Nominations
Nomination Deadline: September 5, 2002
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 one upcoming vacancy on the National Adjudicatory Council (NAC). The
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 22, 2000, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ACRP.GA
Actuant Corp
13.000
05/01/09
AGY.GC
INFORMATIONAL
Anti-Money Laundering
Effective Date: Transactions After December 30, 2002
Draft Form SAR-SF; Comments Requested by: October 4, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Money Laundering
Suspicious Activity Reporting
Executive Summary
On October 26, 2001, President Bush signed into law
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
INFORMATIONAL
Underwriting Activity Reports
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Technology
Trading and Market Making
Underwriting Activity Reports
Public Offerings
Executive Summary
NASD has amended its rules to require members to request Underwriting Activity Reports (UARs) from NASD's
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Accounting
Operations
Retail
Mutual Funds
Mutual Fund Breakpoints
Customer Refunds
Net Capital Compliance
Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
Executive Summary
On
REQUEST FOR COMMENT
Supervision Rules
Comment Period Expires: October 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Rule 3010
Supervisory Systems
Executive Summary
NASD requests comment on proposed amendments to Rule 3010 (Supervision) to require members to adopt heightened supervision
ACTION REQUIRED
Mutual Fund Transactions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Mutual Fund Sales
Operations
Senior Management
Mutual Fund Transactions
Executive Summary
Investment Company Act Rule 22c-1(a) generally requires that redeemable securities of investment companies be sold and redeemed at a price
