Notices

Notice to Members 02-67
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2003
Monday, September 30, 2002
Notice to Members 02-66
SEC Approves NASD Rule 2315; Recommendations to Customers in OTC Equity Securities 649
Monday, September 30, 2002
Notice to Members FYI October 2002
For Your Information
Friday, October 18, 2002
Notice to Members 02-65
Nominees for District Committee and District Nominating Committee
Friday, September 27, 2002
Notice to Members 02-64
NASD Advises Members that Participation in Tying Arrangements that Violate Federal Statutes Also Violate Just and Equitable Principles of Trade; Requests Information Concerning Such Practices;
Thursday, September 19, 2002
Notice to Members 02-63
NASD Provides Additional Information on Amendments to Section 8 of Schedule A to NASD's By-Laws to Eliminate the Regulatory Fee and to Implement a New Transaction-Based Trading Activity Fee as Announced in Notice to Members 02-41;
Wednesday, September 18, 2002
Notice to Members 02-62
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Wednesday, September 18, 2002
Notice to Members 02-61
SEC Approves Proposed Changes to the Taping Rule and NASD Interpretive Material 8310-2;
Friday, September 13, 2002
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