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Notice to Members 05-22
GUIDANCE Large Options Positions Reports SUGGESTED ROUTING KEY TOPICS Senior ManagementLegal & ComplianceOperationsOptionsSystemsTrading Options Executive Summary As a result of enhancements to the Securities Industry Automation Corporation's (SIAC) Large Options Positions Reporting system, NASD is eliminating the manual reporting of Large Options
Notice to Members 05-20
GUIDANCE Regulatory Element Exemptions Effective Date: April 4, 2005 SUGGESTED ROUTING KEY TOPICS Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management RegistrationTraining Continuing EducationRegulatory ElementRule 1120 Executive Summary On September 27, 2004, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 1120 (
Notice to Members 05-19
INFORMATIONAL Qualification Examinations Implementation Date: April 29, 2005 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Training Assistant Representative – Order Processing (Series 11) Limited Representative – Equity Trader (Series 55) Rule 1032(f) Rule 1041 Executive
Notice to Members 05-18
GUIDANCE Private Placements of Tenants-in-Common Interests SUGGESTED ROUTING KEY TOPICS Corporate Finance Internal Audit Legal & Compliance Registered Representatives Retail Senior Management Broker-Dealer Registration Due Diligence Non-Conventional Investments Private Placements Real Estate Rule 2420 Suitability Executive Summary This Notice addresses Section 1031 tax-
Notice to Members 05-17
GUIDANCE Sanction Guidelines Effective Date: March 15, 2005 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Senior Management Registered Representatives NASD Sanction Guidelines Institutional Sales Material and Correspondence Telemarketing Research Analysts and Research Reports Executive Summary This Notice advises NASD members of modifications to the
Notice to Members 05-16
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee
Notice to Members December 1997 Survey
Survey
Notice to Members November 1998
NASD Notice of Meeting and Proxy
Notice to Members October 1998
Year 2000 Update
Notice to Members November 1998
Year 2000 Update