INFORMATIONAL
Non-Conventional Investments
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Due Diligence
Non-Conventional Investments
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Executive Summary
In the aftermath of the recent downturn in the equity markets, NASD reviewed the services and
IMMEDIATE ACTION REQUIRED
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Mutual Fund Breakpoints
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Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had failed to deliver
INFORMATIONAL
Corporate Debt Securities
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Debt SecuritiesDisseminationOperationsRule 6200 SeriesTransaction Reporting
Executive Summary
On January 31, 2002, the Securities and Exchange Commission (SEC or Commission) approved amendments to Rule
INFORMATIONAL
Certificates of Deposit
Effective Date: October 8, 2002
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Executive Representatives
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Certificates of Deposit
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to Members 02-28
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Executive Summary
On July 14, 1993, the Securities and Exchange Commission (SEC) approved a new Section 71 of the Uniform Practice Code (UPC) requiring members to close out short sales in Nasdaq® securities that meet a certain clearing short-position threshold. In addition, the SEC approved amendments to
SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule
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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 2, 1986
The National Association of Securities Dealers, Inc., (NASD) is requesting comments on a proposed amendment that would exempt certain persons purchasing securities in connection with the conversion of a savings and loan association or other organization from mutual to stock ownership from the restrictions
TO: All NASD Members
ATTN: Operations Principals, Cashiers and Buy-in Personnel
The Association's Board of Governors has adopted various amendments to the Uniform Practice Code which prescribes the manner in which over-the-counter securities transactions are compared, cleared and settled between NASD member firms. These amendments to the Code apply to all NASD members participating in
TO: All NASD Members
Enclosed herewith are proposed amendments to the Association's Uniform Practice Code ("Code") which were approved by the Board of Governors at its November 19, 1982, meeting. The amendments are being submitted to the membership for comment. After the comment period has expired, the Board of Governors will again review the proposal taking into consideration the
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