<p>FINRA Rule 2210 - Communications with the Public</p>
Request for Interpretive Guidance Under NASD Rule 2711
<p>NASD Rule 3010(a)(7) - Annual Compliance Meeting</p>
The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates.
<p>NASD IM-2420-2 - Continuing Commissions Policy</p>
<p>NASD Rule 1020 Series - Registration of Principals</p>
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
<p>NASD Rule 11190 - Reconfirmation and Pricing Service Participants</p>
