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FINRA Manual
Corporate Organization Notices
2004
04-95 NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities
04-92 Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD
04-91 NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule
04-90 NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
04-89 NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
04-86 SEC Approves NASD Interpretive Material to Rule 2210 Regarding Member Firms' Use of Investment Analysis Tools
04-85 SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS
04-83 NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)
04-80 NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
04-79 SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements
04-78 SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
04-77 SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
04-74 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005
04-73 Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees
04-72 Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
04-69 Mandatory Use of Combined New Order/Route and Combined New Order/Execution Reports Delayed until April 4, 2005; Clarification of Combined Reporting Format Requirements for Related Order Information Submitted by Multiple Order Sending Organizations
04-68 SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access
04-66 NASD Reminds Member Firms of Their Obligations to Ensure the Accuracy and Integrity of Information Entered into Order-Routing and Execution Systems
04-65 SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements
04-64 SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete
04-59 SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council
04-58 SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS) (This version was updated on 8/19/04)
04-57 NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
04-54 Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities Extended to September 24, 2004
04-53 SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
04-51 SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005
04-50 Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule) (The effective date has been delayed until 10/12/04)
04-49 SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
04-48 SEC Approves Amendments to Rule 6954 Requiring Members to Record and Report Execution Price and Firm Capacity in OATS Execution Reports
04-46 Mandatory Changes to OATS New Order, Combined New Order/Route, and Combined New Order/Execution Reports
04-45 NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities
04-44 Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
04-43 Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
04-42 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
04-41 NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
04-39 SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements
04-38 NASD Reminds Member Firms of Their Obligations to Adhere to Credit Extension Requirements and Day Trading Margin Rules
04-37 SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
04-33 Limited Net Capital Relief from the Reclassification of Certain Equity as Liabilities in Accordance with Statement of Financial Accounting Standards No. 150 (Action required by 05/10/04)
04-32 SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information
04-31 NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
04-29 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections (This version corrects certain administrative and other non-substantive text)
04-28 SEC Approves Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
04-26 NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
04-25 SEC Approves New NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
04-24 SEC Announces Immediate Effectiveness of IM-3150 Governing Exemptions from the Reporting Requirements of NASD Rule 3150
04-23 NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5); and (2) Adopting a Rule to Create an Inactive Disclosure
04-22 SEC Approves Amendments to Rule 1120 (Continuing Education Requirements) Regarding Regulatory Element Contact Person
04-21 NASD Provides Further Guidance on Amendments to NASD Rule 3370 — Affirmative Determination Requirements
04-20 IPO Distribution Manager to Replace Compliance Desk; Filings Required for All New Issues as Defined in Rule 2790
04-18 NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
04-16 NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
04-15 SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry
04-13 SEC Approves Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates-Conflicts of Interest)
04-12 Change in Policy of Granting Foreign Deferrals to Registered Supervisors and Principals from the Continuing Education Regulatory Element
04-11 NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
04-10 SEC Approves Amendments to Membership Application and Continuation Rules (Rules 1011, 1014, and 1017)
04-09 SEC Announces Immediate Effectiveness of Amendments to Section 4 of Schedule A to the NASD By-Laws
04-08 Effective Date of Amendments to NASD Rule 3370 (Affirmative Determination Requirements) Extended to April 1, 2004
04-07 NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text)
04-06 SEC Approves Permanent TRACE Fee Structure and Nine-Month Pilot Program for BTDS Professional Delayed-Time Data Display Fee
04-04 SEC Announces Immediate Effectiveness of Amendments to Section 5 of Schedule A to the NASD By-Laws
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2004
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Contents:
04-95 NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities
04-92 Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD
04-91 NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule
04-90 NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
04-89 NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
04-86 SEC Approves NASD Interpretive Material to Rule 2210 Regarding Member Firms' Use of Investment Analysis Tools
04-85 SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS
04-83 NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)
04-80 NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
04-79 SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements
04-78 SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
04-77 SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
04-74 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005
04-73 Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees
04-72 Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
04-69 Mandatory Use of Combined New Order/Route and Combined New Order/Execution Reports Delayed until April 4, 2005; Clarification of Combined Reporting Format Requirements for Related Order Information Submitted by Multiple Order Sending Organizations
04-68 SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access
04-66 NASD Reminds Member Firms of Their Obligations to Ensure the Accuracy and Integrity of Information Entered into Order-Routing and Execution Systems
04-65 SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements
04-64 SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete
04-59 SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council
04-58 SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS) (This version was updated on 8/19/04)
04-57 NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
04-54 Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities Extended to September 24, 2004
04-53 SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
04-51 SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005
04-50 Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule) (The effective date has been delayed until 10/12/04)
04-49 SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
04-48 SEC Approves Amendments to Rule 6954 Requiring Members to Record and Report Execution Price and Firm Capacity in OATS Execution Reports
04-46 Mandatory Changes to OATS New Order, Combined New Order/Route, and Combined New Order/Execution Reports
04-45 NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities
04-44 Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
04-43 Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
04-42 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
04-41 NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
04-39 SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements
04-38 NASD Reminds Member Firms of Their Obligations to Adhere to Credit Extension Requirements and Day Trading Margin Rules
04-37 SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
04-33 Limited Net Capital Relief from the Reclassification of Certain Equity as Liabilities in Accordance with Statement of Financial Accounting Standards No. 150 (Action required by 05/10/04)
04-32 SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information
04-31 NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
04-29 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections (This version corrects certain administrative and other non-substantive text)
04-28 SEC Approves Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
04-26 NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
04-25 SEC Approves New NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
04-24 SEC Announces Immediate Effectiveness of IM-3150 Governing Exemptions from the Reporting Requirements of NASD Rule 3150
04-23 NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5); and (2) Adopting a Rule to Create an Inactive Disclosure
04-22 SEC Approves Amendments to Rule 1120 (Continuing Education Requirements) Regarding Regulatory Element Contact Person
04-21 NASD Provides Further Guidance on Amendments to NASD Rule 3370 — Affirmative Determination Requirements
04-20 IPO Distribution Manager to Replace Compliance Desk; Filings Required for All New Issues as Defined in Rule 2790
04-18 NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
04-16 NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
04-15 SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry
04-13 SEC Approves Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates-Conflicts of Interest)
04-12 Change in Policy of Granting Foreign Deferrals to Registered Supervisors and Principals from the Continuing Education Regulatory Element
04-11 NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
04-10 SEC Approves Amendments to Membership Application and Continuation Rules (Rules 1011, 1014, and 1017)
04-09 SEC Announces Immediate Effectiveness of Amendments to Section 4 of Schedule A to the NASD By-Laws
04-08 Effective Date of Amendments to NASD Rule 3370 (Affirmative Determination Requirements) Extended to April 1, 2004
04-07 NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text)
04-06 SEC Approves Permanent TRACE Fee Structure and Nine-Month Pilot Program for BTDS Professional Delayed-Time Data Display Fee
04-04 SEC Announces Immediate Effectiveness of Amendments to Section 5 of Schedule A to the NASD By-Laws
04-03 SEC Approves NASD Rule Proposal Requiring Members to Make Affirmative Determinations for Short Sale Orders Received from Non-Member Broker/Dealers
