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Notice
to Members 2003
Summary: NASD Notice to Members
03-33 - July 2003Clarification for Members Regarding
Supervisory Obligations and Recordkeeping Requirements
for Instant Messaging NASD is clarifying
for members their supervisory obligations and recordkeeping
requirements with respect to instant messaging.
Questions concerning this Notice may be directed
to Mary Sue Fisher, Special Counsel, Regulation
Policy, Department of Member Regulation at (202)
728- 8277, or Thomas A. Pappas, Associate Vice President,
Advertising ...
News
Release - 6/18/03
Summary: Washington, DC ? NASD
today advised member firms about the use of "instant
messaging" by employees, saying firms
must ensure the instant messaging
is being retained for at least three years and the
communication does not violate NASD rules governing
sales literature and correspondence. Many firms
have determined that they cannot adequately supervise
instant messaging communications
and have banned the use of instant messaging
for communication with the public. Members are advised
to evaluate ..
Notice
to Members July 2003 - View Full Month's Notices
(PDF 698 KB)
Summary: Notices to Members July
2003 Notices 03- 33 Clarification for Members Regarding
Supervisory Obligations and Recordkeeping Requirements
for Instant Messaging 343 03- 34
Treasury and SEC Issue Final Rule Regarding Customer
Identification Programs for Broker/ Dealers; Effective
Date: October 1, 2003 347 03- 35 SEC Approves NASD
Rule Change Giving NASD Authority to Issue and Enforce
Temporary Cease and Desist Orders 361 03- 36 SEC
Approves Amendments to TRACE Rule 6230 to Reduce
the Reporting ...
Notice
to Members 03-57 PDF 186 KB)
Summary: See also, MSRB Notice
2003- 28 (July 16, 2003), Approval by SEC of Rule
G- 41, on Anti- Money Laundering Compliance, NASD
Notice To Members 02- 47, Anti- Money Laundering:
Treasury Issues Final Suspicious Activity Reporting
Rule For Broker/ Dealers, August 2002; NASD Notice
to Members 03- 34, Anti- Money Laundering Customer
Identification Programs for Broker/ Dealers, June
2003, and NYSE Information Memos 03- 32, Customer
Identification Programs For Broker- Dealers, July
14, 2003; 03- 03, ...
Notice
to Members 03-33 (PDF 118 KB)
Summary: NASD NtM JULY 2003 PAGE
343 - SUGGESTED ROUTING KEY TOPICS Notice to Members
JULY 2003 INFORMATIONAL Instant Messaging
Clarification for Members Regarding Supervisory
Obligations and Recordkeeping Requirements for Instant
Messaging Legal and Compliance Senior Management
Operations Trading and Market Making Electronic
Communications Communications with the Public Recordkeeping
Executive Summary NASD is clarifying for members
their supervisory obligations and recordkeeping
requirements with ...
Notice
to Members September 2003 - View Full Month's Notices
(PDF 793 KB)
Summary: Notices to Members Notices
03- 49 NASD Requests Comment on Proposed Amendments
to Rule 3010 to Require Heightened Supervision Plans
for Associated Persons with a Specified Threshold
of Industry/ Regulatory- Related Events Comment
Period Expires October 10, 2003 509 03- 50 NASD
Reminds Member Firms of their Obligations Regarding
Mutual Fund Transactions and Directs Review of Policies
and Procedures 517 03- 51 Amendments to Article
VIII of the By- Laws of NASD Regulation, Inc., Regarding
...
Guide
to the Internet for Registered Representatives
Summary: NASD Conduct Rule 3010
- Supervision -- This NASD Rule addresses the review
of an RR's electronic messages by a member firm.
NASD Conduct Rule 3110 - Books and Records -- This
NASD Rule requires that correspondence (both written
and electronic) with public customers be maintained
in compliance with applicable NASD rules and with
SEC Rules 17a-3 and 17a-4. Day Trading Rules - NASD
Rules 2360 and 2361 apply to member firms that promote
day trading strategies.
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