I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
Comment Period Expires September 13, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Variable Contracts
Executive Summary
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CRDIndividual Name A5429958BARBARA JEAN ABADI5251101YOUSEF ABBASI1879052JOSEPH ABBONDANTE5239825JOANNA ABDELHADI307EMMETT MAURICE ABERCROMBIE1610607ANDREW MARTIN ABERN4162073JOSH RAY ABERNATHY2987570EUGENE GILBERT ABEYTA, JR4311057ANTHONY RICHARD ABNER2733649MAURICE WAYNE ABNEY3273075AMR MOSTAFA ABOULMAGD6140331CRYSTAL DAWN ABRAHAM4412506SEYMOUR ISAAC ABRAMOWITZ4661358LISA
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal &
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Operations
Trading
Market Making
Executive Summary
On July 24, 2002, the Securities and Exchange Commission (SEC)
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached.
Over the past several years, the Association's Ad Hoc Committee on
INFORMATIONAL
Books And Records Rules
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Books and Records
Exchange Act Rule 17a-3
Exchange Act Rule 17a-4
