Notices

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
Notice to Members 00-87
Fixed Income Pricing System Additions, Changes, and Deletions as of November 22, 2000
Monday, December 11, 2000
Notice to Members 03-50
NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
Friday, September 05, 2003
Notice to Members 04-06
SEC Approves Permanent TRACE Fee Structure and Nine-Month Pilot Program for BTDS Professional Delayed-Time Data Display Fee
Wednesday, January 28, 2004
Notice to Members 03-23
SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
Monday, April 21, 2003
Notice to Members 04-05
NASD Announces Election Results for District Committees and District Nominating Committees
Wednesday, January 28, 2004
Notice to Members 04-04
SEC Announces Immediate Effectiveness of Amendments to Section 5 of Schedule A to the NASD By-Laws
Monday, January 26, 2004
Notice to Members 04-03
SEC Approves NASD Rule Proposal Requiring Members to Make Affirmative Determinations for Short Sale Orders Received from Non-Member Broker/Dealers;
Tuesday, January 20, 2004
Notice to Members 04-02
2004 Renewal Reports and Final Renewal Statements
Monday, January 12, 2004
Notice to Members 04-01
NASD Provides Additional Information Regarding Options Exemption for the Trading Activity Fee
Friday, January 02, 2004
Notice to Members 03-22
Dissemination of Additional Corporate Debt Securities Will Begin on April 14, 2003
Friday, April 11, 2003
Notice to Members 03-21
SEC Approves Amendments to NASD Rules Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
Friday, April 11, 2003
Notice to Members 03-20
Technical Changes to the NASD Registration Rules Effective Immediately
Friday, April 11, 2003
Notice to Members 03-19
NASD Expands Equity Option Hedge Exemption
Friday, April 11, 2003
Notice to Members 03-18
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Friday, April 11, 2003