Notices

Notice to Members 07-06
Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
Tuesday, February 13, 2007
Notice to Members 06-04
SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance
Friday, January 13, 2006
Notice to Members 06-11
SEC Approves Amendment to NASD Interpretive Material 3013 Regarding Timing of Submission of Report that Evidences Processes to a Member's Board of Directors and Audit Committee
Tuesday, March 21, 2006
Notice to Members 05-29
Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
Thursday, April 14, 2005
Notice to Members 05-48
Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
Friday, July 22, 2005
Notice to Members 05-50
Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities
Monday, August 08, 2005
Notice to Members 05-67
SEC Approves Uniform Branch Office Definition and Related Interpretive Material
Thursday, October 06, 2005
Notice to Members 05-75
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
Wednesday, November 02, 2005
Notice to Members 05-18
NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Wednesday, March 02, 2005
Notice to Members 04-71
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls
Monday, October 04, 2004
Notice to Members 04-79
SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements
Sunday, October 31, 2004
Notice to Members 05-08
Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities
Friday, January 28, 2005
Notice to Members 97-19
NASD Regulation and New York Stock Exchange Memorandum Discusses Sweep Report and Provides Guidance on Heightened Supervision Recommendations
Tuesday, April 01, 1997
Notice to Members 96-60
Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities
Sunday, September 01, 1996
Notice to Members 99-45
NASD Provides Guidance on Supervisory Responsibilities
Tuesday, June 01, 1999
Notice to Members 98-52
SEC Approves Taping Rule; Effective August 17, 1998
Wednesday, July 01, 1998
Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Friday, May 01, 1998
Notice to Members 98-11
SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence; Effective February 15, 1998
Thursday, January 01, 1998
Notice to Members 96-82
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Sunday, December 01, 1996
Notice to Members 98-96
NASD Elaborates on Member Firms -- Supervision Responsibilities for Trade Reporting and Market-Making Activities
Tuesday, December 01, 1998
Notice to Members 01-79
NASD Reminds Members of Their Responsibilities Regarding Private Securities Transactions Involving Notes and Other Securities and Outside Business Activities
Monday, December 10, 2001
Notice to Members 00-35
NASD Regulation Reminds Firms of CRD Continuing Education Notification Method and Informs Firms to Review Written Supervisory Procedures
Monday, June 12, 2000
Notice to Members 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
Friday, September 05, 2003
Notice to Members 03-33
Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Wednesday, June 18, 2003
Notice to Members 03-29
Certification by Chief Executive Officer and Chief Compliance Officer: NASD Requests Comment on Proposal to Amend Rule 3010 and Adopt Interpretive Material 3010-1
Wednesday, June 04, 2003