Notices

Notice to Members 98-78
NASD Clarifies Operation of the Limit Order Protection Rule During Unusual Market Conditions
Tuesday, September 01, 1998
Notice to Members 98-77
Executive Representatives Must Maintain Internet Electronic Mail Account by January 1, 1999; Complimentary Hard Copy Distribution of Key Publications to End January 1, 1999
Tuesday, September 01, 1998
Notice to Members 98-76
Maximum SOES Order Sizes Set to Change October 1, 1998
Tuesday, September 01, 1998
Notice to Members 98-75
SEC Approves Rule Change Relating to Non-Cash Compensation for Mutual Funds and Variable Products
Tuesday, September 01, 1998
Notice to Members 98-74
SEC Approves Rule Amendment Relating to Hearings on Suspensions and Cancellations for Failure to Comply with Arbitration Awards
Tuesday, September 01, 1998
Notice to Members 98-73
Firms Required to Register for Order Audit Trail System; Amendments to OATS Rules
Tuesday, September 01, 1998
Notice to Members 01-25
SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
Monday, March 26, 2001
Notice to Members 01-24
SEC Approves Proposed Changes to Rule 2330(f)(2) Relating to Performance Fees
Tuesday, March 20, 2001
Notice to Members 01-23
Suitability Rule and Online Communications
Sunday, March 18, 2001
Notice to Members 01-22
NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
Thursday, March 15, 2001
Notice to Members 01-21
Fixed Income Pricing System Additions, Changes, and Deletions as of January 22, 2001
Sunday, March 11, 2001
Notice to Members 01-20
Nasdaq Announces Decimalization Rule Changes
Sunday, March 11, 2001
Notice to Members 01-19
SEC Approves Trade Reporting for PORTAL Securities
Sunday, March 11, 2001
Notice to Members 01-18
SEC Approves Rules to Require Fixed Income Transaction Reporting and Dissemination
Sunday, March 11, 2001
Notice to Members 01-17
Web CRD Email Notifications Regarding Regulatory Element Requirements and Notifications of CE Inactive Registered Persons
Sunday, March 11, 2001
Notice to Members 01-16
Member Obligations to Provide Statistical Information About Order Executions Under Rule 11Ac1-5 of the Securities Exchange Act of 1934
Thursday, February 08, 2001
Notice to Members 01-15
Fixed Income Pricing System Additions, Changes, and Deletions as of December 26, 2000
Friday, February 09, 2001
Notice to Members 01-14
SEC Approves Revision to Membership and Registration Rule 1120-Continuing Education Requirements-Permitting In-Firm Delivery
Friday, February 09, 2001
Notice to Members 01-13
SEC Approves Amendments to Director's Authority to Remove Arbitrators For Cause
Tuesday, February 06, 2001
Notice to Members 01-12
Nasdaq Announces Additional Decimalization Pilot Phase for
Friday, February 09, 2001
Notice to Members 01-11
SEC Approves Proposed Rule Change Relating to Cash And Margin Treatment for Certain Types of Options Positions
Thursday, January 25, 2001
Notice to Members 01-10
Trade Date-Settlement Date Schedule
Wednesday, January 10, 2001
Notice to Members 01-09
Fixed Income Pricing System Additions, Changes, and Deletions as of November 27, 2000
Wednesday, January 10, 2001
Notice to Members 01-08
NASD Adopts Amendments to Customer Account Statement Rule
Wednesday, January 10, 2001
Notice to Members 01-07
Important Reminders About Web CRD Notification of Regulatory Element Continuing Education Requirements and Inactive Registered Persons
Wednesday, January 10, 2001