GUIDANCE
Business Continuity Planning
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Information Technology
Legal & Compliance
Operations
Senior Management
Training
Business Continuity Planning
Rule 3500 Series (Emergency
Preparedness)
Executive Summary
In May 2004, NASD issued Notice to Members 04-37 regarding
INFORMATIONAL
2007 Trade Date—Settlement Date Schedule
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:
The NASDAQ Stock Market® and the securities exchanges will be closed on
NTM 06-72 supersedes NTM 06-60GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
SIPC (Securities Investor
Protection Corporation)
Executive
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Market Makers
Riskless Principal
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supplement guidance provided in
NASD Notice to Members (NTM) 06-44 relating to the application
of the Trading
NASD has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
GUIDANCE
Order Audit Trail System (OATS)
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
NASD Rules 6950 through 6958
Order Audit Trail System (OATS)
Executive Summary
On October 10, 2006, the Securities and Exchange Commission (SEC
GUIDANCE
Gifts and Gratuities
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Gifts
Gratuities
Rule 3060
Executive Summary
As a result of a recent review of gift and gratuity practices at member firms, NASD has
GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Institutional Customers
Legal & Compliance
Operations
Senior Management
Clearing Firms
Customer Account Statements
DVP/RVP (Delivery versus Payment/
Receive versus Payment)
NASD Rule 2340
NASD Rule 3110
NASD Rule 11860
SEC Rule 10b-10
SEC Rule 15c3-2
SEC Rule 17a-4
Executive Summary
The Securities
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved
INFORMATIONAL
District and National Adjudicatory Council 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, the District Nominating Committees and the
National Adjudicatory Council (NAC). The
