Reminder to NASD Members – Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
ACTION REQUIRED
Broker/Dealer, Investment Adviser, and Individual (AG/RA) Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management
Registration Renewals Web CRD Web IARD Maintenance Fees
Executive Summary
The 2003 NASD Broker/Dealer and Investment Adviser Registration
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of
Dispute Resolution Office Relocation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Dispute Resolution
Executive Summary
NASD Dispute Resolution announces the relocation of its New York headquarters office and Northeast Regional Office to:
One Liberty Plaza 27th Floor 165 Broadway New York, New York 10006
Telephone: (212) 858-4400 Facsimile
Mail Vote
Last Voting Date: February 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance,
Senior Management
NASD By-Laws
Non-Payment of Arbitration Awards
Definition of "Disqualification
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making
Holiday Trade Date-SettlementDate Schedule
Martin Luther King, Jr., Day:Trade Date—Settlement Date Schedule
The NASDAQ Stock Market® and the securities exchanges will be closed on Monday, January 20, 2003, in
Member Surcharge in Arbitration
SUGGESTED ROUTING
KEY TOPICS
FinanceLegal and ComplianceSenior Management
Arbitration
Executive Summary
For arbitration claims filed on or after January 13, 2003, NASD will refund the member surcharge paid by each member firm named as a party (or where its present or former associated person has been named as a party) in an arbitration
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Legal/Compliance Retail Senior Management
Hedge Funds Funds of Hedge Funds Suitability Due Diligence Internal Controls Supervision Training
Executive Summary
As a result of a recent review of members that sell hedge funds and registered products (closed-end funds) that invest in hedge funds ("funds of hedge funds"),
INFORMATIONAL
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations
Rule 3360 Short Interest Reporting Short Sales
Executive Summary
On January 10, 2003, the Securities and Exchange Commission (SEC) issued an order announcing the immediate effectiveness of amendments to NASD Rule 3360 (Rule 3360 or the Rule) that clarify that
