INFORMATIONALTrade DateSettlement DateThis version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making Holiday Trade DateSettlement Date Schedule Martin Luther King, Jr., Day:Trade DateSettlement Date ScheduleThe Nasdaq Stock Market®
GUIDANCEContinuing Education RulesSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsSenior ManagementContinuing EducationRule 1120Executive SummaryOn February 13, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central
GUIDANCEAffirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeLegal & ComplianceOperationsNASD Rule 3370Short Sale RuleAffirmative DeterminationExecutive SummaryOn November 14, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "affirmative
ACTION REQUIREDMail VoteLast Voting Date: May 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementNASD By-LawsExecutive SummaryNASD invites members to vote to approve amendments to the NASD By-Laws that will: eliminate two seats on the NASD Board of Governors (NASD Board) that are currently reserved for representatives of the American Stock
INFORMATIONALExpungementEffective Date: April 12, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementArbitrationCentral Registration Depository (CRD®)Customer Dispute InformationDispute ResolutionExpungementRule 2130Executive SummaryOn December 16, 2003, the Securities and Exchange Commission (SEC) approved new Rule 2130 concerning the
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal and ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThrough this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until January 2007.1District 10 (New York) had an additional
INFORMATIONALTrade Reporting and Compliance Engine (TRACE)SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementIT ManagementDebt SecuritiesTrade Reporting and Compliance Engine (TRACE)Rule 7010(k)Executive SummaryThe TRACE system became effective on July 1, 2002. Since that time the TRACE fee structure has been operating under a pilot program approved by the SEC that
GUIDANCESales Practice ObligationsSUGGESTED ROUTINGKEY TOPICSAdvertising/Investment CompaniesDebt SecuritiesExecutive RepresentativesLegal & ComplianceMutual FundsRegistered RepresentativesSenior ManagementTrainingDebt SecuritiesMunicipal SecuritiesMutual FundsSales Practice ObligationsExecutive SummaryAs the number of retail customers investing in bonds and bond funds grows, NASD is
INFORMATIONALSanction GuidelinesSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementDeterrence of Future MisconductNASD Sanction GuidelinesExecutive SummaryThis Notice advises NASD members of modifications to the NASD Sanction Guidelines (Guidelines). NASD is modifying General Principles Nos. 1 and 3 of the Guidelines to
GUIDANCEExemptions to Reporting Requirements of Rule 3150Effective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementClearing FirmsExemptions to the Reporting Requirements of Rule 3150IM-3150National Examination Program (NEP) Surveillance (formerly referred to as INSITE)Rule 3150Executive SummaryThe Securities and Exchange
