Notices

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
Notice to Members 03-17
Sales Material for Municipal Fund Securities
Monday, March 24, 2003
Notice to Members 03-69
SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
Wednesday, November 05, 2003
Notice to Members 03-68
NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
Tuesday, November 04, 2003
Notice to Members 04-38
NASD Reminds Member Firms of Their Obligations to Adhere to Credit Extension Requirements and Day Trading Margin Rules
Friday, May 07, 2004
Notice to Members 04-26
NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
Tuesday, March 30, 2004
Notice to Members 04-25
SEC Approves New NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
Tuesday, March 30, 2004
Notice to Members 04-23
NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan (MRVP) to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5); and (2) Adopting a Rule to Create an Inactive Disclosure Review Registration Status;
Wednesday, March 17, 2004
Notice to Members 03-53
SEC Announces Immediate Effectiveness of Amendments to Non-Cash Compensation Provisions of Rule 2710 and Rule 2810
Wednesday, September 24, 2003
Notice to Members 03-52
Nominees for District Committee and District Nominating Committee
Tuesday, September 16, 2003