GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting Executive SummaryNASD provides interpretive guidance on the meaning of the terms "foreign private issuer" and "issue date
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryArticle VIII, Section 8.32 of the NASD Regulation, Inc. By-Laws (the By-Laws) permits the Secretary of NASD Regulation, in extraordinary circumstances and with the approval of the NASD Executive Committee or the NASD Board of Governors, to adopt additional
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing RuleUnderwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710 (Corporate FinancingRuleUnderwriting Terms and Arrangements)Schedule A to
GUIDANCEAdvertising FeesImplementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementAdvertising Regulation DepartmentAdvertising Review ChargesRule 2210 and InterpretationsSchedule A to the NASD By-Laws Executive SummaryNASD has filed for immediate effectiveness amendments to Section 13 of Schedule
GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesDissemination of Transaction InformationOperationsRule 6200 SeriesTRACE RulesTransaction ReportingExecutive SummaryOn September 3, 2004, the Securities and Exchange Commission (SEC or Commission) approved
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThe purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice (see Attachment A) have been nominated for three-
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements; Effective Date: Anticipated April 2005; Specific Date to be Announced in Future Notice to Members
INFORMATIONALNominees for NASD Board of GovernorsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesSenior ManagementNASD Board of GovernorsExecutive SummaryThe Annual Meeting of NASD members will be held on January 4, 2005.The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on or about November 29, 2004.The individuals nominated
SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access; Effective Date: October 20, 2004
