Notices

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
Notice to Members 05-78
SEC Approves Amendments to the OATS Rules
Friday, November 11, 2005
Notice to Members 05-14
NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
Thursday, February 17, 2005
Notice to Members 05-15
NASD Announces Election Results for the District Committee for District 1
Tuesday, February 22, 2005
Notice to Members 05-16
NASD Announces Election Results for the District Committee for District 10
Tuesday, February 22, 2005
Notice to Members 05-17
NASD Adopts New Sanction Guidelines
Tuesday, March 01, 2005