Notices

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 97-44
Fixed Income Pricing System Additions, Changes, and Deletions as of June 20, 1997
Tuesday, July 01, 1997
Notice to Members 97-43
SEC Amends Broker/Dealer Record Retention Rule
Tuesday, July 01, 1997
Notice to Members 97-42
SEC Approves Amendments Relating To The Release Of Disciplinary Information
Tuesday, July 01, 1997
Notice to Members 96-91
Fixed Income Pricing System Additions, Changes, and Deletions as of November 29, 1996
Sunday, December 01, 1996
Notice to Members 97-41
NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market;
Sunday, June 01, 1997
Notice to Members 96-90
Trade Date -- Settlement Date Schedule for 1997
Sunday, December 01, 1996
Notice to Members 96-89
NASD 1997 Holiday Schedule
Sunday, December 01, 1996
Notice to Members 97-40
Fixed Income Pricing System Additions,Changes, And Deletions As Of May 22, 1997
Sunday, June 01, 1997
Notice to Members 96-88
SOES Tier Levels Set to Change January 2, 1997
Sunday, December 01, 1996
Notice to Members 96-87
NASD Regulation PROCTOR Transition to Sylvan Continues
Sunday, December 01, 1996
Notice to Members 97-39
Independence Day: Trade Date Settlement Date Schedule
Sunday, June 01, 1997
Notice to Members 96-86
NASD Regulation Reminds Members and Associated Persons That Sales of Variable Contracts are Subject to NASD Suitability Requirements
Sunday, December 01, 1996
Notice to Members 96-85
Customer Complaint Reporting Rule Update
Sunday, December 01, 1996
Notice to Members 97-38
SOES Tier Levels Set to Change July 1, 1997
Sunday, June 01, 1997
Notice to Members 96-84
NASD Regulation Solicits Comment on the Use of Bond Mutual Fund Risk Ratings in Supplemental Sales Literature;
Sunday, December 01, 1996
Notice to Members 97-37
NASD Regulation Requests Comment on Proposed Definition of Correspondence for Rules Regarding Communications with the Public;
Sunday, June 01, 1997
Notice to Members 96-83
NASD Regulation Solicits Comment on Proposed Rule Relating to Prohibition on Members Receiving any Payment to Publish a Quotation, Make a Market in an Issuer's Securities, or Submit an Application in Connection Therewith;
Sunday, December 01, 1996
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