GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position LimitsRule 2860
Executive Summary
On August 10, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until March 1, 2007
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Registration
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members
(NTM) 06-37 and replace the guidance provided in that Notice
relating to the application of the Trading Activity Fee
GUIDANCE
Correspondence
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
CorrespondenceRule 2211
Executive Summary
On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and correspondence.1 The
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the
proposed nominees for the National Adjudicatory Council (NAC)
from the New York and West Regions. The nominees, nominated
for three-year terms beginning January 2007, are listed in
INFORMATIONAL
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 announce the
nominees for the District Committees and the District Nominating
Committees.1 The individuals identified in this Special Notice
GUIDANCE
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Systems
Trading
Alternative Display Facility
IM-4613A-1
Multiple Market Participant
Identifiers
Registered Reporting ADF ECNsRule 4613A
Executive Summary
On August 8, 2006, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness a rule
ACTION REQUIRED
Broker-Dealer and Investment Adviser Renewals
Payment Deadline: December 14, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Renewals
Registration
Web CRD®
Executive Summary
The 2006 NASD Broker-
GUIDANCE
Reporting Requirements for "Piggybacking" Arrangements
Effective Date: February 20, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Clearing Agreements
"Piggybacking" ArrangementsRule 3150Rule 3230
Executive Summary
On August 26, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3150,
GUIDANCE
Minor Rule Violation Plan
Effective Date: November 14, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
IM-9216Rule 9216(b)
Minor Rule Violation Plan (MRVP)
Executive Summary
On August 18, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Interpretive Material 9216-2
(IM-9216-2), regarding
GUIDANCE
Qualification Examinations
Implementation Date: November 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—General Securities Sales Supervisor (Series 9/10)
Limited Principal—Registered Options (Series 4)
Limited Representative—Investment Company and Variable Contracts Products (Series 6)Rule 1022(f)Rule 1022(g)Rule 1032
