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FINRA Manual
Corporate Organization Notices
2000
00-90 Mail Vote — NASD Solicits Vote On Amendments To The NASD By-Laws On Selected Corporate Governance Issues (Note: Only NASD member Executive Representatives are allowed to vote)
00-84 NASD Regulation Requests Comment On A Proposed Amendment To NASD Rule 2320(g) To Exclude Certain Transactions In Foreign Securities
00-83 NASD Regulation To Make Statutory Disqualification Decisions Publicly Available In Redacted Format
00-79 Nasdaq Adopts Alternative Approach For Complying With Riskless Principal Trade-Reporting Rules And Issues Net Trading Interpretation
00-78 SEC Approves Proposed Changes To The NASD Three Quote Rule And Related Recordkeeping Requirements
00-73 SEC Approves Amendments To NASD Membership Rules (Correction: On page 571, the 2nd sentence should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." Online version amended)
00-71 NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
00-70 Nasdaq Requests Comment On Extending Manning Limit Order Protection Interpretation To Premarket Hours (Correction: On p. 556, it was originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET.)
00-66 NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information; SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
00-63 NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
00-61 NASD Regulation Files Rule Proposal With SEC Requiring Delivery Of Margin Disclosure Statement To Customers
00-59 NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council
00-55 NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt
00-51 SEC Approves Proposed Rule Change Relating To Margin For Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control And Restricted Securities, And Options Transactions
00-49 SEC Issues Staff Interpretation On The "Free Trading" Status Of Blank Check Company Securities Under Certain Scenarios
00-48 NASD Adopts Rule Requiring Member Participation In Decimalization Testing; NASD Reminds Selected Members Of Survey Deadline: July 28, 2000
00-46 NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
00-45 NASD Announces Changes To SEC Rule 15c3-3 Extension Request Reason Codes (Correction: On p. 1, the 2nd para under Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, entry of Issue Symbol or CUSIP is required)
00-44 The NASD Reminds Members Of Their Responsibilities Regarding The Sale Of Variable Life Insurance
00-43 SEC Approves Changes To Transaction Reporting Procedures For Weighted Average And Special Pricing Formula Trades
00-42 NASD Regulation, Inc. Reiterates The Obligation Of Member Firms To Comply With Trading Rules, Particularly Immediately Prior To The Close On Expiration Fridays And Index Rebalancing Days
00-36 SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board
00-35 NASD Regulation Reminds Firms Of CRD Continuing Education Notification Method And Informs Firms To Review Written Supervisory Procedures
00-34 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
00-33 NASD Regulation Adopts New Rule Interpretation To Require Confirmation Disclosure Of Callable Common Stock
00-30 SEC Approves New Systems And Rules Governing Delivery, Negotiation, And Execution Of Orders For Nasdaq National Market Securities
00-28 SEC Approves Use Of Hard To Borrow List To Comply With The Affirmative Determination Requirement For Short Sales (Rule 3370)
00-26 NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
00-21 NASD Regulation Reminds Members Of Their Responsibilities When Advertising Recent Mutual Fund Performance
00-18 NASD Regulation Issues Statement Of Policy Regarding Recordation By Members Of NASD Examinations
00-17 NASD Regulation Requests Comment On Proposed Recordkeeping And Reporting Requirements For Quotations On Certain Automated, Inter-Dealer Quotation Systems
00-15 SEC Approves Rule Change Relating To Filing Requirements For Independently Prepared Research Reports
00-14 NASD Members Must Update Firm Contact Information Via The NASD Regulation Web Site By April 30, 2000
00-12 Amendments Adopted To Clarify The Application Of NASD Rules To Offerings Under SEC Rule 504 And Intra-State-Only Offerings
00-08 NASD Reminds Members Of Their Obligations Regarding Municipal Securities Transaction Reporting
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2000
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Contents:
00-90 Mail Vote — NASD Solicits Vote On Amendments To The NASD By-Laws On Selected Corporate Governance Issues (Note: Only NASD member Executive Representatives are allowed to vote)
00-84 NASD Regulation Requests Comment On A Proposed Amendment To NASD Rule 2320(g) To Exclude Certain Transactions In Foreign Securities
00-83 NASD Regulation To Make Statutory Disqualification Decisions Publicly Available In Redacted Format
00-79 Nasdaq Adopts Alternative Approach For Complying With Riskless Principal Trade-Reporting Rules And Issues Net Trading Interpretation
00-78 SEC Approves Proposed Changes To The NASD Three Quote Rule And Related Recordkeeping Requirements
00-73 SEC Approves Amendments To NASD Membership Rules (Correction: On page 571, the 2nd sentence should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." Online version amended)
00-71 NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
00-70 Nasdaq Requests Comment On Extending Manning Limit Order Protection Interpretation To Premarket Hours (Correction: On p. 556, it was originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET.)
00-66 NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information; SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
00-63 NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
00-61 NASD Regulation Files Rule Proposal With SEC Requiring Delivery Of Margin Disclosure Statement To Customers
00-59 NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council
00-55 NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt
00-51 SEC Approves Proposed Rule Change Relating To Margin For Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control And Restricted Securities, And Options Transactions
00-49 SEC Issues Staff Interpretation On The "Free Trading" Status Of Blank Check Company Securities Under Certain Scenarios
00-48 NASD Adopts Rule Requiring Member Participation In Decimalization Testing; NASD Reminds Selected Members Of Survey Deadline: July 28, 2000
00-46 NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
00-45 NASD Announces Changes To SEC Rule 15c3-3 Extension Request Reason Codes (Correction: On p. 1, the 2nd para under Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, entry of Issue Symbol or CUSIP is required)
00-44 The NASD Reminds Members Of Their Responsibilities Regarding The Sale Of Variable Life Insurance
00-43 SEC Approves Changes To Transaction Reporting Procedures For Weighted Average And Special Pricing Formula Trades
00-42 NASD Regulation, Inc. Reiterates The Obligation Of Member Firms To Comply With Trading Rules, Particularly Immediately Prior To The Close On Expiration Fridays And Index Rebalancing Days
00-36 SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board
00-35 NASD Regulation Reminds Firms Of CRD Continuing Education Notification Method And Informs Firms To Review Written Supervisory Procedures
00-34 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
00-33 NASD Regulation Adopts New Rule Interpretation To Require Confirmation Disclosure Of Callable Common Stock
00-30 SEC Approves New Systems And Rules Governing Delivery, Negotiation, And Execution Of Orders For Nasdaq National Market Securities
00-28 SEC Approves Use Of Hard To Borrow List To Comply With The Affirmative Determination Requirement For Short Sales (Rule 3370)
00-26 NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
00-21 NASD Regulation Reminds Members Of Their Responsibilities When Advertising Recent Mutual Fund Performance
00-18 NASD Regulation Issues Statement Of Policy Regarding Recordation By Members Of NASD Examinations
00-17 NASD Regulation Requests Comment On Proposed Recordkeeping And Reporting Requirements For Quotations On Certain Automated, Inter-Dealer Quotation Systems
00-15 SEC Approves Rule Change Relating To Filing Requirements For Independently Prepared Research Reports
00-14 NASD Members Must Update Firm Contact Information Via The NASD Regulation Web Site By April 30, 2000
00-12 Amendments Adopted To Clarify The Application Of NASD Rules To Offerings Under SEC Rule 504 And Intra-State-Only Offerings
00-08 NASD Reminds Members Of Their Obligations Regarding Municipal Securities Transaction Reporting
00-02 NASD Alerts Members To Their Obligations Concerning Soliciting Business In Foreign Jurisdictions
