INFORMATIONALAmendments to Section 4 of Schedule A to the NASD By-LawsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementForms U4 and U5Late FeesSection 4 of Schedule A to the NASD By-LawsExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 4 of Schedule A to the NASD By-Laws
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule); Effective Date: October 12, 2004
INFORMATIONALUniform Submission AgreementsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceSenior ManagementArbitrationSanctionsUniform Submission AgreementsExecutive SummaryNASD's Code of Arbitration Procedure (Code) requires respondents in NASD arbitrations to serve an answer and an executed Uniform Submission Agreement (USA) at the time the answer to the Statement of Claim is due.
INFORMATIONALContinuing EducationSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceRegistrationSenior ManagementRegulatory ElementExecutive SummaryNASD is providing the Regulatory Element Supervisor Program (S201) in several new international locations. This will affect NASD's policy of granting foreign deferrals to registered supervisors and principals from the
INFORMATIONALAmendments to NASD Rule 3370, Affirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsNASD Rule 3370Short Sale Orders Executive SummaryNASD is delaying the effective date of amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "Affirmative Determination" Rule)
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
