Notices

Notice to Members 00-44
NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
Friday, June 16, 2000
Notice to Members 00-43
SEC Approves Changes to Transaction Reporting Procedures for Weighted Average and Special Pricing Formula Trades;
Thursday, June 15, 2000
Notice to Members 00-42
NASD Regulation, Inc. Reiterates the Obligation of Member Firms to Comply with Trading Rules, Particularly Immediately Prior to the Close on Expiration Fridays and Index Rebalancing Days
Wednesday, June 14, 2000
Notice to Members 00-41
SEC Approves Trade Halt Rule for OTCBB; Effective Date: June 26, 2000
Monday, June 12, 2000
Notice to Members 00-40
Independence Day: Trade Date - Settlement Date Schedule
Monday, June 12, 2000
Notice to Members 00-39
Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 2000
Monday, June 12, 2000
Notice to Members 00-38
Nasdaq Releases Its Latest Decimalization Testing Schedule
Monday, June 12, 2000
Notice to Members 00-37
NAC Issues Decision on MSRB Rule G-37 Exemptive Relief
Monday, June 12, 2000
Notice to Members 00-36
SEC Approves Rule Change to Permit Publication of All Final Litigated Decisions Issued by the Office Of Hearing Officers, the National Adjudicatory Council, and the NASD Board;
Monday, June 12, 2000
Notice to Members 00-35
NASD Regulation Reminds Firms of CRD Continuing Education Notification Method and Informs Firms to Review Written Supervisory Procedures
Monday, June 12, 2000
Notice to Members 00-34
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Monday, June 05, 2000
Notice to Members 00-33
NASD Regulation Adopts New Rule Interpretation to Require Confirmation Disclosure of Callable Common Stock
Wednesday, May 10, 2000
Notice to Members 00-32
SEC Suspends Decimalization Deadline and Requests Comment on Extended Deadline
Wednesday, May 10, 2000
Notice to Members 00-31
Fixed Income Pricing System Additions, Changes, and Deletions as of March 23, 2000
Wednesday, May 10, 2000
Notice to Members 00-30
SEC Approves New Systems and Rules Governing Delivery, Negotiation, and Execution of Orders for Nasdaq National Market Securities;
Wednesday, May 10, 2000
Notice to Members 00-29
SEC Approves Changes to Nasdaq Locked/Crossed Markets Rule;
Wednesday, May 10, 2000
Notice to Members 00-28
SEC Approves Use of Hard to Borrow List to Comply with the Affirmative Determination Requirement for Short Sales (Rule 3370)
Wednesday, May 10, 2000
Notice to Members 00-27
Deadline Extended for Series 55 Equity Trader Examination to October 1, 2000
Monday, May 01, 2000
Notice to Members 00-26
NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
Monday, April 24, 2000
Notice to Members 00-25
Memorial Day: Trade Date - Settlement Date Schedule
Monday, April 10, 2000
Notice to Members 00-24
Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 2000
Monday, April 10, 2000
Notice to Members 00-23
SEC Approves New Rules Relating to Bond Mutual Fund Volatility Ratings
Monday, April 10, 2000
Notice to Members 00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period;
Monday, April 10, 2000
Notice to Members 03-09
NASD Announces Election Results for District Committees and District Nominating Committees
Monday, February 03, 2003
Notice to Members 03-08
NASD Clarifies the Application of Short Interest Reporting Rule
Friday, January 31, 2003