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
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
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 ECNs
Rule 4613A
Executive Summary
On August 8, 2006, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness
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
GUIDANCE
Reporting Requirements for "Piggybacking" Arrangements
Effective Date: February 20, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Clearing Agreements
"Piggybacking" Arrangements
Rule 3150
Rule 3230
Executive Summary
On August 26, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD
GUIDANCE
Minor Rule Violation Plan
Effective Date: November 14, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
IM-9216
Rule 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
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
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
On August 9, 2005, the Securities and Exchange Commission (SEC) approved new Rule 2111, Trading Ahead of Customer Market Orders, which
GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing
GUIDANCE
Branch Office Registration
Effective Date: October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Branch Office Registration
Central Registration Depository
(CRD® or Web CRD)
Form ADV
Form BR (Uniform
