Notices

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
Notice to Members 02-60
Columbus Day: Trade Date--Settlement Date Schedule
Wednesday, September 11, 2002
Notice to Members 02-59
SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers;
Wednesday, September 11, 2002
Notice to Members 02-58
SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims;
Wednesday, September 11, 2002
Notice to Members 02-57
Use of Negative Response Letters for the Bulk Transfer of Customer Accounts
Wednesday, September 11, 2002
Notice to Members 02-56
Nominees for NASD Board of Governors
Wednesday, September 04, 2002
Notice to Members 02-55
NASD Requests Comment on Proposed New Rule 2712 (IPO Allocations and Distributions) and on an Amendment to Rule 2710 (Corporate Financing Rule);
Wednesday, August 21, 2002
Notice to Members 02-54
NASD Requests Comment on Proposed Amendments to Rules 1014 and 1017;
Wednesday, August 21, 2002
Notice to Members 02-53
NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD; Revises Letters Sent When Determination Made to Close an Investigation Without Further Action
Wednesday, August 21, 2002
Notice to Members 02-52
NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition");
Wednesday, August 21, 2002
Notice to Members 02-51
NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools.
Thursday, August 15, 2002
Notice to Members 00-89
NASD 2001 Holiday Schedule
Monday, December 11, 2000
Notice to Members 02-50
Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements;
Tuesday, August 13, 2002
Notice to Members 02-49
NASD Adopts Amendments to IM-8310-2 Concerning Release of Disciplinary Information to the Public;
Monday, August 12, 2002
Notice to Members 02-48
NASD Amends Section 4 of Schedule A to the NASD By-Laws to Establish a Late Fee for Failure to Pay Annual Renewal Fees on a Timely Basis
Monday, August 12, 2002
Notice to Members 01-84
SEC Approves NASD Rule Proposal Requiring Member Clearing and Self-Clearing Firms To Report Prescribed Data
Monday, December 17, 2001
Notice to Members 00-88
Trade Date - Settlement Date Schedule for 2001
Monday, December 11, 2000
Notice to Members 02-47
Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers;
Monday, August 12, 2002