Notices

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
Notice to Members 06-29
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Monday, June 19, 2006
Notice to Members 06-31
NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Wednesday, June 28, 2006
Notice to Members 06-32
NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available
Wednesday, June 28, 2006
Notice to Members 06-33
Frequently Asked Questions regarding Electronic Blue Sheet Submissions; Remediation Dates Extended
Friday, June 30, 2006
Notice to Members 06-34
Technical Changes in the Reporting of Statistical and Summary Information Regarding Customer Complaints and Disclosure Events pursuant to Rule 3070
Wednesday, July 12, 2006
Notice to Members 06-35
Revisions to the Series 22, 27, 28, 39 and 55 Examination Programs
Friday, July 14, 2006
Notice to Members 06-36
NASD and NYSE Joint Interpretive Guidance on Fixed Income Research
Monday, July 31, 2006
Notice to Members 06-37
Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker
Tuesday, August 01, 2006
Notice to Members 06-38
Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
Wednesday, August 09, 2006
Notice to Members 06-39
SEC Approves Amendments Relating to Automated Reporting of Transactions Subject to Regulatory Transaction Fee
Friday, August 11, 2006
Notice to Members 05-73
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006;
Monday, October 31, 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 05-74
NASD Announces Election Results for District Committees and District Nominating Committees
Wednesday, November 09, 2005
Notice to Members 05-76
Nominees for NASD Board of Governors
Wednesday, November 09, 2005
Notice to Members 05-77
Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE
Wednesday, November 09, 2005