Notices

Notice to Members 05-52
SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser
Wednesday, August 17, 2005
Notice to Members 05-54
NASD Announces Nominee for Regional Industry Member Vacancy on the National Adjudicatory Council
Thursday, August 25, 2005
Notice to Members 05-55
SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
Friday, August 26, 2005
Notice to Members 05-56
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Monday, August 29, 2005
Notice to Members 05-57
Guidance to Members Affected by Hurricane Katrina
Friday, September 02, 2005
Notice to Members 05-58
Intermarket Surveillance Group Requires Validation of Electronic Blue Sheet Submissions
Wednesday, September 07, 2005
Notice to Members 05-59
NASD Provides Guidance Concerning the Sale of Structured Products
Monday, September 12, 2005
Notice to Members 05-60
Important Information Regarding the Suspension of Trading in the Securities of Bancorp International Group, Inc. (BCIT.PK)
Wednesday, September 14, 2005
Notice to Members 05-61
NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee
Friday, September 16, 2005
Notice to Members 05-62
Nominees for District Committee and District Nominating Committee
Tuesday, September 27, 2005
Notice to Members 05-63
NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting
Friday, September 30, 2005
Notice to Members 05-64
SEC Approves Amendments to IM-2110-2 to Require Members to Provide Price Improvement to Customer Limit Orders in Certain Circumstances and to Expand IM-2110-2 to Exchange-Listed Securities
Monday, October 03, 2005
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