Notices

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
Notice to Members 05-18
NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Wednesday, March 02, 2005
Notice to Members FYI February 1998
For Your Information
Sunday, February 01, 1998
Notice to Members FYI January 1998
For Your Information
Thursday, January 01, 1998
Notice to Members December 1998
Year 2000 Update
Tuesday, December 01, 1998
Notice to Members November 1998
Year 2000 Update
Sunday, November 01, 1998
Notice to Members October 1998
Year 2000 Update
Thursday, October 01, 1998
Notice to Members November 1998
NASD Notice of Meeting and Proxy
Sunday, November 01, 1998
Notice to Members 04-50
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule)
Tuesday, July 13, 2004
Notice to Members 04-51
SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005
Wednesday, July 14, 2004
Notice to Members 04-52
Guidance on the Requirements for Availability of the Bona Fide Fully Arbitraged Exemption
Wednesday, July 21, 2004
Notice to Members 04-53
SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
Friday, July 16, 2004
Notice to Members December 1997 Survey
Survey
Monday, December 01, 1997
Notice to Members 04-54
Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities
Monday, August 02, 2004
Notice to Members 04-55
NASD Requests Comment on a Proposed Uniform Branch Office Registration Form;
Wednesday, August 04, 2004
Notice to Members 04-56
SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System;
Thursday, August 05, 2004
Notice to Members 04-57
NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
Monday, August 09, 2004
Notice to Members 04-58
SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS);
Tuesday, August 10, 2004
Notice to Members 04-59
SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council;
Wednesday, August 11, 2004