INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 24, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACPV.GA
Advanta Corp.
7.100
10/23/00
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
Good Friday: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Good Friday,
INFORMATIONAL
Mutual Fund Performance
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Internal Audit
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Variable Contracts
Advertising
Mutual Fund Performance
Executive Summary
Recent unusually strong equity market performance helped some mutual funds, particularly those
INFORMATIONAL
Single Arbitrator Pilot Program
Effective Date: May 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Arbitration
Direct Communication with Single Arbitrator
Neutral List Selection System
Reduced Hearing Session Fees
Single Arbitration Pilot
Executive Summary
On February 15, 2000,1 the
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
INFORMATIONAL
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
Memorial Day: Trade Date—Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Monday, May 27,
Bank Notification Used In Conjunction With A Special Reserve Bank Account For The Exclusive; Benefit Of Customers
INFORMATIONAL
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
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
ACTION REQUESTED
Corporate Financing
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Systems
Corporate Financing
Electronic Form Filing
Executive Summary
On April 9, 2002, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD Conduct Rule 2710 (the Corporate Financing Rule
