INFORMATIONAL
Statutory Disqualification
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Eligibility and Qualification Standards
Statutory DisqualificationRule 9520 Series
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has commenced an initiative to make publicly available the text of statutory disqualification decisions (decisions) issued by the
ACTION REQUESTED
Three Quote Rule
Comment Period Expires: January 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Three Quote Rule
NASD Rule 2320(g)
Executive Summary
NASD Regulation, Inc. (NASD Regulation®) requests comment from members, investors, and other interested parties on a proposed
Update to Web CRD Firm Notification Functionality
INFORMATIONAL
Corporate Financing
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Internal Audit
Legal & Compliance
Operations
Senior Management
Filing Fees
NASD Rule 2710
Underwriting Compensation
Executive Summary
Effective January 1, 2001, the National Association of Securities Dealers, Inc. (NASD®) will deduct delinquent Corporate Financing filing fees from funds maintained
ACTION REQUESTED
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
A review of the decimalization testing mandate and plans for Nasdaq® decimalization testing are included in this NASD Notice to Members. A select number of market
REQUEST FOR COMMENT
Research Analysts and Research Reports
Comment Period Expires: August 30, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Investment Banking
Research Reports
Small Firms
Executive Summary
On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711, Research Analysts
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Operations
Trading
Market Making
Executive Summary
On July 24, 2002, the Securities and Exchange Commission (SEC) approved amendments to
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 three-year term of
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
Argosy Gaming Co
10.750
06/01
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 the USA PATRIOT Act
