Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
GUIDANCE
Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal and Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility RatingsIM-2210-5Rule 2210
Executive Summary
On December 27, 2005, the Securities
GUIDANCE
Supervisory Controls
Effective Date: February 14, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Rule 3012 (Supervisory Control Systems)
Executive Summary
On November 18, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3012 to require
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market OrdersRule 2111
Executive Summary
In October 2005, NASD issued Notice to Members (NTM) 05-69
informing members of Securities and Exchange Commission (SEC)
approval of new Rule
ACTION REQUIRED
2006 Final Renewal Statements and Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
Executive Summary
The 2006 NASD Broker-Dealer and Investment Adviser Renewal
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination of Transaction
Information
OperationsRule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
On December 28, 2005, the Securities and Exchange Commission
(SEC or
GUIDANCE
NASD Code of Arbitration Procedure
Mediation Rules
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Code of Arbitration Procedure
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved a
proposed rule change to revise the mediation rules of the NASD
Code of Arbitration Procedure (Code) to simplify the language and
to reorganize these rules into a
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested
election for membership on the District Committee for District 7. Six
candidates were seeking to fill the three open seats on the District
Committee for
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
Executive Summary
The Annual Meeting of Members of NASD will be held on February
3, 2006 at 10 am in the NASD Visitors Center, 1735 K Street, NW,
in Washington, DC. The purpose of the meeting is to conduct the
election of Governors to the NASD Board. Members can raise other
topics for discussion by
