Notices

Notice to Members 03-32
Clarification of NASD Establishment of Consultative Committees
Monday, June 16, 2003
Notice to Members 03-31
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Monday, June 09, 2003
Notice to Members 03-30
SEC Approves Revisions to NASD By-Laws Regarding Trading Activity Fee
Thursday, June 05, 2003
Notice to Members 04-11
NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
Monday, February 23, 2004
Notice to Members 04-10
SEC Approves Amendments to Membership Application and Continuation Rules (Rules 1011, 1014, and 1017)
Monday, February 23, 2004
Notice to Members 03-29
Certification by Chief Executive Officer and Chief Compliance Officer: NASD Requests Comment on Proposal to Amend Rule 3010 and Adopt Interpretive Material 3010-1
Wednesday, June 04, 2003
Notice to Members 03-28
SEC Approves NASD Rule Proposal Requiring Quotation Recording and Reporting for OTC Equity Securities
Wednesday, May 28, 2003
Notice to Members 04-09
SEC Announces Immediate Effectiveness of Amendments to Section 4 of Schedule A to the NASD By-Laws
Thursday, February 19, 2004
Notice to Members 03-27
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Wednesday, May 28, 2003
Notice to Members 04-08
Effective Date of Amendments to NASD Rule 3370 (Affirmative Determination Requirements) Extended to April 1, 2004
Wednesday, February 18, 2004
Notice to Members 03-26
SEC Approves Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
Thursday, May 15, 2003
Notice to Members 03-25
Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003; New Waiver Agreement Form
Thursday, May 15, 2003
Notice to Members 03-24
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Tuesday, May 06, 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