REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary
GUIDANCE
NAC Nominations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members
of the nomination procedures to fill two upcoming vacancies on the
National Adjudicatory Council (NAC). The three-year terms of the
NAC regional Industry members from
GUIDANCE
Fee Increase for Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Extension of Time Requests
Fees
Regulation T
Schedule A to NASD By-Laws
SEC Rule 15c3-3
Executive Summary
On May 15, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate
GUIDANCE
Short Sale Delivery Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Short Sales
Rule 3210
Executive Summary
On April 4, 2006, the Securities and Exchange Commission (SEC)
approved new Rule 3210, Short Sale Delivery Requirements, which
applies short sale
GUIDANCE
Amendments to Rule 6740
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Form 211
Rule 6740
SEC Rule 15c2-11
Executive Summary
On March 27, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 6740 relating to submission
of SEC Rule 15c2-11 information to
GUIDANCE
Margin Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Options
Operations
Senior Management
Margin Requirements
Options
Rule 2520
Rule 2522
Executive Summary
On April 3, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend NASD
GUIDANCE
Branch Office System Processing Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registration
Senior Management
Branch Office Registration Fee
Branch Office System Processing Fee
Fees
Schedule A to NASD By-Laws
Executive Summary
Effective July 3, 2006, NASD members will be assessed an annual
$20 branch office system processing fee. Also effective July 3, 2006,
GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
Executive Summary
NASD is issuing this Notice to Members to remind member firms and registered financial and operations principals (FINOPs) of a FINOP's duties and responsibilities under Rule 1022 (Categories of Principal Registration). These duties are applicable to all FINOPs, regardless of whether they are employed full-time or part-time, perform such duties on-site or off-site of the
SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
