REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
REQUEST FOR COMMENT
Branch Office Definition
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
CRD
Legal & Compliance
Member Regulation
Operations
Senior Management
Branch Office Definition
Rule Modernization
Rule 3010(g)(2)
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed
NASD Rule 3070
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
NASD Rule 3070
NASD Rule 2110
Executive Summary
NASD has undertaken two initiatives to improve the quality and flow of information to it about allegations of broker misconduct. First, on August 14, 2002, NASD filed with the Securities and Exchange Commission (SEC) a
REQUEST FOR COMMENT
Membership Application Rules
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Membership Application Process
Membership Continuation Process
Rule 1014
Rule 1017
Executive Summary
NASD requests comment on proposed amendments to Rules 1014 and 1017. Rule 1017(a) sets forth certain
REQUEST FOR COMMENT
Regulation of IPO Allocations and Distributions
Comment Period Expires: September 9, 2002.
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Flipping
IPO Allocations
NASD Rule 2710
NASD Rule 2712
Penalty Bids
Spinning
Underwriting Compensation
INFORMATIONAL
Board of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Senior Management
NASD Board of Governors
The Annual Meeting of members of NASD will be held on December 5, 2002. The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on or about November 4, 2002.
The
INFORMATIONAL
Bulk Transfer of Customer Accounts
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Accounts
Rule 2110
Executive Summary
In October 2000, the staff of NASD issued an interpretive letter concerning the use of "negative response letters" to transfer certain customer accounts to a new broker/dealer.
New Default Procedures Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registration
Senior Management
Arbitration
Default Procedures
Dispute Resolution
Registration
Suspension
Termination
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule
Answers in Arbitration
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Answers
Arbitration
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) governing Initiation of Proceedings.1 The amendments
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 14, 2002. On this
