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FINRA Manual
Corporate Organization Notices
1997
97-97 Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts; And For Other Purposes
97-92 NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices To Members And Regulatory & Compliance Alert
97-82 SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers
97-81 NASD Regulation Requests Comment On Proposed Amendments Relating To Compensation For Sale Of Public Offerings Of Direct Participation Programs
97-78 SEC Approves Rule Relating To Distribution Of Information Concerning NASD Regulation's Public Disclosure Program
97-77 NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice
97-68 SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720
97-66 Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
97-65 Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages
97-62 SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement Of SEC Fee Rate Algorithm
97-58 NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity
97-57 NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
97-52 SEC Approves Amendments Relating To Market Maker Registration And Primary Market Maker Eligibility By Managers And Co-Managers Of Secondary Offerings
97-50 NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
97-48 NASD Regulation Requests Comment On Amendments To Rules Governing Sale And Distribution Of Investment Company Shares And Variable Insurance Products
97-37 NASD Regulation Requests Comment On Proposed Definition Of Correspondence For Rules Regarding Communications With The Public
97-35 Treasury's Foreign Assets Control Office Updates List Of Specially Designated Persons And Entities
97-32 NASD Regulation Files Proposed Changes To Disciplinary, Election, And Membership Procedures With The SEC
97-30 NASD Regulation Requests Comments On Amendments To The Free-Riding And Withholding Interpretation
97-29 NASD Regulation Discusses Member Disclosure Obligations And Requests Comment On The Appropriateness Of Adopting A Rule Governing Risk Disclosure
97-19 NASD Regulation And New York Stock Exchange Memorandum Discusses Sweep Report And Provides Guidance On Heightened Supervision Recommendations
97-15 SEC Approves Amendments To ACT Rules To Require Market Makers To Denote When They Have Effected An Exempt Short-Sale
97-14 NASD Files With The SEC Proposed Amendment To Regulate The Disclosure Of Values For Illiquid Direct Participation Program And Real Estate Investment Trust Securities On Customer Account Statements
97-12 NASD Regulation Requests Comment On Proposed Rule Governing Use And Release Of Customer Confidential Financial Information
97-11 NASD Regulation Requests Comment On Proposed Rule Restricting Payment Of Referral Fees By NASD Members
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1997
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Contents:
97-97 Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts; And For Other Purposes
97-92 NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices To Members And Regulatory & Compliance Alert
97-82 SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers
97-81 NASD Regulation Requests Comment On Proposed Amendments Relating To Compensation For Sale Of Public Offerings Of Direct Participation Programs
97-78 SEC Approves Rule Relating To Distribution Of Information Concerning NASD Regulation's Public Disclosure Program
97-77 NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice
97-68 SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720
97-66 Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
97-65 Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages
97-62 SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement Of SEC Fee Rate Algorithm
97-58 NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity
97-57 NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
97-52 SEC Approves Amendments Relating To Market Maker Registration And Primary Market Maker Eligibility By Managers And Co-Managers Of Secondary Offerings
97-50 NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
97-48 NASD Regulation Requests Comment On Amendments To Rules Governing Sale And Distribution Of Investment Company Shares And Variable Insurance Products
97-37 NASD Regulation Requests Comment On Proposed Definition Of Correspondence For Rules Regarding Communications With The Public
97-35 Treasury's Foreign Assets Control Office Updates List Of Specially Designated Persons And Entities
97-32 NASD Regulation Files Proposed Changes To Disciplinary, Election, And Membership Procedures With The SEC
97-30 NASD Regulation Requests Comments On Amendments To The Free-Riding And Withholding Interpretation
97-29 NASD Regulation Discusses Member Disclosure Obligations And Requests Comment On The Appropriateness Of Adopting A Rule Governing Risk Disclosure
97-19 NASD Regulation And New York Stock Exchange Memorandum Discusses Sweep Report And Provides Guidance On Heightened Supervision Recommendations
97-15 SEC Approves Amendments To ACT Rules To Require Market Makers To Denote When They Have Effected An Exempt Short-Sale
97-14 NASD Files With The SEC Proposed Amendment To Regulate The Disclosure Of Values For Illiquid Direct Participation Program And Real Estate Investment Trust Securities On Customer Account Statements
97-12 NASD Regulation Requests Comment On Proposed Rule Governing Use And Release Of Customer Confidential Financial Information
97-11 NASD Regulation Requests Comment On Proposed Rule Restricting Payment Of Referral Fees By NASD Members
97-9 Industry/Regulatory Council On Continuing Education Issues Continuing Education Program Firm Element Advisory
