Notices

Notice to Members 06-06
NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Monday, January 23, 2006
Notice to Members 05-53
Due to a change in our publishing schedule, there is no Notice numbered 05-53.
Monday, August 01, 2005
Notice to Members 06-07
SEC Approves Amendments to Anti-Money Laundering Compliance Program Rule and Adoption of Interpretive Material
Friday, February 10, 2006
Notice to Members 06-08
Amendments Relating to the Status of Persons Serving in the Armed Forces of the United States
Friday, February 24, 2006
Notice to Members 06-09
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Thursday, March 02, 2006
Notice to Members 06-10
NASD Revises Sanction Guidelines
Tuesday, March 07, 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 06-12
Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006 Joint Interpretive Guidance from NASD and the NYSE Relating to Uniform Branch Office Definition Under NASD Rule 3010(g)(2) and NYSE Rule 342.10
Tuesday, March 21, 2006
Notice to Members 06-13
Validation of Electronic Blue Sheet Systems: Intermarket Surveillance Group Requires Validation by March 31, 2006
Wednesday, March 29, 2006
Notice to Members 06-14
SEC Approves Amendments to the Short Interest Reporting Requirements
Tuesday, April 04, 2006
Notice to Members 06-15
SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules; NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface
Wednesday, April 05, 2006
Notice to Members 06-16
NASD Amends Rule 1013 to Adopt a Standardized Application Form (Form NMA) to be Used by All New Member Applicants;
Thursday, April 20, 2006
Notice to Members 06-17
NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules
Friday, April 21, 2006
Notice to Members 06-18
SEC Division of Market Regulation Issues Interpretive Guidance Regarding Regulation SHO Close-Out Requirements; Effective Date: May 1, 2006
Tuesday, April 25, 2006
Notice to Members 06-19
SEC Approves New Rule 3380, Order Entry and Execution Practices; Effective Date: May 25, 2006
Tuesday, April 25, 2006
Notice to Members 06-20
NASD Implements Changes to the Regulation Filing Applications System
Friday, April 28, 2006
Notice to Members 06-21
NASD and NYSE Issue Joint Guidance on Charitable Contributions
Friday, May 05, 2006
Notice to Members 06-22
NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was an Inter-Dealer or a Dealer-Customer Transaction and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller;
Wednesday, May 10, 2006
Notice to Members 06-23
NASD Reminds FINOPs of their Obligations under NASD Rule 1022 and Issues Guidance to FINOPS who Work Part-Time, Work Off-Site or Hold Multiple Registrations
Wednesday, May 17, 2006
Notice to Members 06-24
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Tuesday, May 23, 2006
Notice to Members 06-25
Establishment of Branch Office System Processing Fee and Waiver of Branch Office System Processing Fee and Annual Branch Office Registration Fee For One Branch Office Per Member Per Year
Thursday, May 25, 2006
Notice to Members 06-26
Amendments to Margin Rules to Reflect Additional Complex Option Spread Strategies
Thursday, May 25, 2006
Notice to Members 06-27
SEC Approves Amendments to Rule 6740 Relating to Submission of SEC Rule 15c2-11 Information to NASD
Tuesday, May 30, 2006
Notice to Members 06-28
SEC Approves New Rule 3210 Applying Short Sale Delivery Requirements to Non-Reporting OTC Equity Securities
Friday, June 02, 2006
Notice to Members 06-30
Amendments to the Fee for Extension of Time Requests under Regulation T and SEC Rule 15c3-3;
Friday, June 09, 2006