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Notice To Members 85-6
TO: All NASD Members and Other Interested Persons ATTN: Corporate Financing Department The Board of Governors has adopted amendments to the filing requirements of the Interpretation of the Board of Governors — "Review of Corporate Financing," which will be effective on March 1, 1985. The text of the amendments is attached to this notice. The amendments will exempt from the filing
Notice to Members 05-83
INFORMATIONAL SUGGESTED ROUTING KEY TOPICS Executive Representatives Board Elections Executive Summary The Annual Meeting of Members of NASD will be held on February 3, 2006 at 10 am in the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for
SEA Rule 15c3-3a Exhibit A and Related Interpretations
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Notice to Members 98-84
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Registration Executive Summary The 1999 National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for
Notice to Members 99-64
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options
Notice to Members 97-70
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Registration Executive Summary The 1997-98 National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees
Notice To Members 94-102
SUGGESTED ROUTING Senior ManagementLegal & ComplianceOperationsOptions Executive Summary New uniform provisions regarding the exercise cut-off rules for expiring equity options will become effective commencing with the February 1995 expiration at each of the five registered national options exchanges and the National Association of Securities Dealers, Inc, (the SROs).1 This
Notice to Members 01-50
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Department Senior Management Foreign Deferrals of the Regulatory Element Executive Summary NASD Regulation, Inc. (NASD RegulationSM) is amending its policy of granting foreign deferrals of the Continuing Education Regulatory Element requirement
Interpretive Letter to Dennis Roth, Chesapeake Securities Research Corporation
<p>A person who processes agency transactions by communicating all orders to another firm, which then calls or electronically communicates with the contra-side of the transaction, is not involved in the execution of transactions for purposes of Rule 1032(f) and thus is not required to be Series 55 registered.<br/><br/></p>
Interpretive Letter to Stuart M. Strauss, Esq., Mayer, Brown & Platt
<p>Secondary market trading in streetTracks Series Funds does not violate NASD Rules 2830(c) and (g).<br /> </p>