GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance MeetingsRule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7) to require that
GUIDANCE
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 inform members of the upcoming nomination and election process to fill forthcoming vacancies on NASD
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to advise member firms and other interested parties of certain
REQUEST FOR COMMENT
Sales Contests and Non-Cash Compensation
Comment Period Expires August 5, 2005
SUGGESTED ROUTING
KEY TOPICS
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Sales Contests
Non-Cash Compensation
Executive Summary
NASD currently restricts the payment and
GUIDANCE
Fingerprinting Procedures
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registration
Senior Management
Best Practices
Fingerprinting
Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints submitted to the
ACTION REQUIRED
Deficits in Introduced Accounts
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Executive Representatives
Legal & Compliance
Operations
Clearing Firms
Deficits in Introduced Accounts
Introducing Firms
Executive Summary
NASD is concerned that clearing firms and introducing firms are frequently failing to properly
GUIDANCE
Corporate Debt Securities
Effective Date: June 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination of Transaction
Information
OperationsRule 6200 Series
TRACE Rules
Transaction Reporting
GUIDANCE
Mediators as Arbitrators
Effective Date: May 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Arbitration
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved a new Interpretive Material (IM) to Rule 10308 of the NASD Code of Arbitration Procedure (Code) relating to mediators
