Notices

Notice to Members 04-89
NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
Wednesday, December 08, 2004
Notice to Members 04-90
NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
Wednesday, December 08, 2004
Notice to Members 04-91
NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule
Thursday, December 09, 2004
Notice to Members 04-92
Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD
Monday, December 13, 2004
Notice to Members 04-94
Nominees for the District Committee for District 10
Monday, December 20, 2004
Notice to Members 04-93
Short Sale Requirements -- Issues Relating to the SEC's Adoption of Regulation SHO
Tuesday, December 28, 2004
Notice to Members 04-95
NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities
Tuesday, December 28, 2004
Notice to Members FYI December 2004
For Your Information
Friday, December 31, 2004
Notice to Members 05-01
Final Renewal Statements and Reports
Monday, January 03, 2005
Notice to Members 05-02
Stage Two of the Expansion of Dissemination of TRACE Transaction Data to Begin on February 7, 2005 Instead of February 1, 2005
Tuesday, January 04, 2005
Notice to Members 05-03
NASD Provides Updated Options Exemption Listing for the Trading Activity Fee
Friday, January 07, 2005
Notice to Members 05-04
SEC Approves Amendments to NASD Rule 2830(k) to Strengthen Prohibitions on Investment Company Directed Brokerage Arrangements
Friday, January 14, 2005
Notice to Members 05-05
NASD Eliminates the TRACE Bond Transaction Data Service (BTDS) Non-Professional Real-Time Data Display Fee and the BTDS Professional Delayed-Time Data Display Fee Pilot Program
Tuesday, January 25, 2005
Notice to Members 05-06
Exemption for Delta Neutral Positions of OTC Derivatives Dealers
Thursday, January 27, 2005
Notice to Members 05-07
SEC Approves Amendments to Rule 2212 Concerning Frequency of Updates From the National Do-Not-Call Registry
Friday, January 28, 2005
Notice to Members 05-08
Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities
Friday, January 28, 2005
Notice to Members 05-09
NASD Amends Rule Governing Predispute Arbitration Agreements with Customers
Monday, January 31, 2005
Notice to Members 05-10
NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
Monday, January 31, 2005
Notice to Members 05-11
NASD Issues Further Guidance Regarding Members' Obligations under Section 3 of Schedule A to the NASD By-Laws; NASD Also Seeks Member Comment on Related Automation Issues
Friday, February 04, 2005
Notice to Members 05-12
SEC Approves Amendments to Rule 9522 Regarding Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
Monday, February 07, 2005
Notice to Members 05-13
NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
Friday, February 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