Notices

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 03-16
SEC Approves New Rule and Rule Amendments Concerning Audit Trail and Trading Halt Requirements for ATSs that Trade Security Futures
Friday, March 07, 2003
Notice to Members 03-15
NASD Adopts Amendments to IM-2260 Regarding Rates of Reimbursement for Expenses Incurred in Forwarding Proxy and Other Material
Friday, March 07, 2003
Notice to Members 03-14
NASD Announces Implementation of Web EFT and Amends Section 9 of Schedule A to the NASD By-Laws Establishing an Annual Subscription Charge for NASD Members That Use Web EFT
Friday, March 07, 2003
Notice to Members 03-13
NASD Reminds Firms about Transaction Reporting Requirements and Announces Enforcement Actions Against Firms for Violations of MSRB Transaction Reporting Rules G-12 and G-14
Monday, March 03, 2003
Notice to Members 03-12
SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More Than 4,000 Corporate Debt Securities
Friday, February 14, 2003
Notice to Members 03-11
SEC Approves Changes to Rule on Clearly Erroneous Transactions; Changes Effective Immediately
Wednesday, February 12, 2003
Notice to Members 03-10
NASD Establishes Consultative Committees
Monday, February 10, 2003
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
Notice to Members 03-07
NASD Reminds Members of Obligations When Selling Hedge Funds
Thursday, January 23, 2003