Notices

Notice to Members FYI April 1998
For Your Information
Wednesday, April 01, 1998
Notice to Members FYI March 1998
For Your Information
Sunday, March 01, 1998
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
Notice to Members 04-60
SEC Approves Increase to the Arbitrator Panel Training Fee;
Friday, August 13, 2004
Notice to Members 96-82
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Sunday, December 01, 1996
Notice to Members 97-36
NASD Interpretive Letters
Sunday, June 01, 1997
Notice to Members 96-81
SEC Transaction Fees Begin January 1, 1997, on Nasdaq and Other Prompt Last Sale Reported Non-Debt Transactions
Sunday, December 01, 1996
Notice to Members FYI December 1996
For Your Information
Sunday, December 01, 1996
Notice to Members 97-35
Treasury's Foreign Assets Control Office Updates List of Specially Designated Persons and Entities
Sunday, June 01, 1997