INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Municipal/Government Securities
Operations
Trading and Market Making
Holiday Trade Date—Settlement
Date Schedule
Martin Luther King, Jr., Day:
Trade Date—Settlement Date Schedule
The NASDAQ Stock Market® and the securities exchanges will be closed on
GUIDANCE
Publication of National Adjudicatory
Council Membership Decisions
Pursuant to NASD Rule 1015
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Publication of NAC Membership
Decisions
Rule 1014
Rule 1017
Rule 1015
Executive Summary
On October 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to IM-8310-2
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education—Regulatory
Element Fees
Qualification Examination Fees
Rule 1120 (Continuing Education Requirements)
Schedule A to NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
GUIDANCE
OATS Reporting Requirements
Effective Date: May 8, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 69506957
Executive Summary
On September 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to Rules 6950 through 6957
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Credit Default Swaps
Debt Securities
Operations
Options
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
NASD provides interpretive guidance under Rule 6230 on the
obligation of
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Senior Management
NASD Board of Governors
Executive Summary
The Annual Meeting of NASD members will be held on February 3,
2006.
The formal notice of the meeting, including the precise time and
location, will be mailed on or about December 29, 2005. The
individuals nominated by the NASD National
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees and the District Nominating Committees. The
candidates nominated to the District Committees have been duly
elected in
GUIDANCE
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-3013 (Annual Compliance
and Supervision
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31
Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining
Key Topic(s)Exercise LimitsOptionsPosition Limits
Options Position and Exercise Limits
Executive Summary
SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
Supervision of Recommendations
after a Registered Representative
Changes Firms
Regulatory Notice
Notice
Type
Guidance
Referenced Rules & Notices
NTM 07-06
SEC Regulation S-P
Suggested
Routing
Compliance
Executive Representatives
Legal
Operations
Senior Management
Key Topic(s)
SEC Regulation S-P
Mutual Funds
Registered Representatives
Supervision
Variable Products
Executive
