Replies to post #5341 on The Next Online Brokerage - Built By You

[Ken Scordo]

Today's NASD members mail, simply posted for informational purposes for IHUB members.


http://www.nasd.com/web/groups/rules_regs/documents/notice_to_members/nasdw_014362.pdf

[Ken Scordo]

IHUBers created this week's number one "Notices to Members"


June 15, 2005

Important information is listed below for all NASD Member Firm Executive Representatives.

News

News Releases
NASD Charges Gunnallen Broker with Threatening Public Company
NASD Charges Pennsylvania's Scott W. Ryan, Ryan & Company with Impermissible Short Selling Scheme for Hedge Fund Clients
Morgan Stanley to Pay $2.7 Million for IPO Lock-Up Violation

Notices to Members

Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.
NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities; Comment Period Expires August 5, 2005
Informational

Letter to NASD Warrant Holders, June 10, 2005
Requests for Comment

SEC Requests for Comment on NASD Proposals
SEC Requests Comment on NASD Proposal Relating to Rule 2790 (New Issue Rule); Comment Period Expires June 22, 2005
SEC Requests Comment on NASD Proposal Relating to Forms BR, U4 and U5; Comment Period Expires June 23, 2005
SEC Requests Comment on NASD Proposal Relating to IM-8310 (Publication of NAC Decisions Issued Pursuant to Rule 1015); Comment Period Expires July 5, 2005
Regulation Information

Order Audit Trail System (OATS)
OATS Online Questionnaire Modification, Deadline Extended to July 15, 2005
Municipal and TRACE Transaction Reporting Teleconference Workshop
Reminders

NASD Suggests Best Practices for Fingerprinting Procedures
NASD 2004 Annual Financial Report and Year in Review
NASD's "Smart Bond" Learning Center
NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts; Immediate Action May Be Required to Ensure Compliance
NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports
Educational Programs/Conferences

Branch Office Conference: Register by June 17
NASD Small Firm Conference: September 23 in Chicago
NEW: Online Courses from the NASD E-Learning Exchange
NASD Education and Training
NASD Institute at Wharton
NASD Seminars
District Compliance Programs
Regular Updates

UPC Notices
Rule Filing Status Report

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News




News Releases

NASD Charges Gunnallen Broker with Threatening Public Company
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ssDocName=NASDW_014378&ssSourceNodeId=....



NASD Charges Pennsylvania's Scott W. Ryan, Ryan & Company with Impermissible Short Selling Scheme for Hedge Fund Clients
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ssDocName=NASDW_014364&ssSourceNodeId=....



Morgan Stanley to Pay $2.7 Million for IPO Lock-Up Violations
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ssDocName=NASDW_014346&ssSourceNodeId=....





--------------------------------------------------------------------------------


Notices to Members

Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ssDocName=NASDW_014361&ssSourceNodeId=....

NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities; Comment Period Expires August 5, 2005
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ssDocName=NASDW_014348&ssSourceNodeId=....

[BullNBear52]

Ain't that the truth!