ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsSenior Management
Short Interest Reporting
Intermarket Surveillance Group
Executive Summary
This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month.1 Attachment A outlines the revised Short
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Alternative Display Facility
ADF Trading Centers
Regulation NMS
SEC Rule 611
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
IM-6660-1NASD Rule 6660OTC
Equity SecuritiesQuotationsTrading Halts
OTC Equity Trade and Quote Halt Codes
Executive Summary
On December 18, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 6660 to expand the scope of NASD's authority
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACETransaction Reporting
Corporate Debt Securities
Executive Summary
The TRACE System is being enhanced to accept reports of transactions in TRACE-eligible securities in cases where the execution
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Suggested Routing
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology Trading and Market Making Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
Currently, NASD
GUIDANCE
Charitable Contributions
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Charitable Giving
Charitable Solicitation
Executive Summary
The solicitation of substantial charitable contributions by employees
or agents of a customer acting in a fiduciary capacity raises
GUIDANCE
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Technology
Training
NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the
GUIDANCE
Trade Shredding
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Trading
Market Orders
Rule 3380
Trade Shredding
Executive Summary
On February 24, 2006, the Securities and Exchange Commission
(SEC) approved new Rule 3380, Order Entry and Execution Practices,
which prohibits conduct known as "trade shredding."1 Specifically,
under
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 6950–6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities
