Notices

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 05-65
SEC Approves Amendments Relating to Rule 2790
Monday, October 03, 2005
Notice to Members 05-66
SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5
Thursday, October 06, 2005
Notice to Members 05-67
SEC Approves Uniform Branch Office Definition and Related Interpretive Material
Thursday, October 06, 2005
Notice to Members 05-68
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Friday, October 07, 2005
Notice to Members 05-69
SEC Approves New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
Monday, October 10, 2005
Notice to Members 05-70
Revisions to the Series 4, 6 and 9/10 Examination Programs
Friday, October 14, 2005
Notice to Members 05-71
SEC Approves NASD Interpretive Material to Rule 9216 regarding NASD's MRVP
Monday, October 17, 2005
Notice to Members 05-72
SEC Approves Amendments to NASD Rule 3150, Regarding Reporting Requirements for Clearing Firms, and NASD Rule 3230, Regarding Requirements for Clearing Agreements
Friday, October 21, 2005
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