Notices

Notice to Members 04-36
SEC Approves NASD Proposed Rule 9550 Series on Expedited Proceedings
Wednesday, May 05, 2004
Notice to Members 03-63
SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
Monday, October 27, 2003
Notice to Members 04-35
NASD Reminds Member Firms of Their Obligations to File Certain Financial Reports
Friday, April 30, 2004
Notice to Members 03-62
SEC Approves NASD Rule Proposal To Govern Lending Between Registered Persons and Customers
Wednesday, October 08, 2003
Notice to Members 04-34
Due to a change in our publishing schedule, there is no Notice numbered 04-34.
Thursday, April 01, 2004
Notice to Members 03-61
Broker/Dealer, Registered Representative, Investment Adviser Firm, and Investment Adviser Representative Renewals for 2004; Payment Deadline: December 5, 2003
Tuesday, October 07, 2003
Notice to Members 04-33
Limited Net Capital Relief from the Reclassification of Certain Equity as Liabilities in Accordance with Statement of Financial Accounting Standards No. 150
Monday, April 19, 2004
Notice to Members 03-60
Nominees for NASD Board of Governors
Friday, October 10, 2003
Notice to Members 04-32
SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information;
Wednesday, April 14, 2004
Notice to Members 04-31
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council;
Wednesday, April 21, 2004
Notice to Members 03-59
Due to a change in our publishing schedule, there is no Notice numbered 03-59
Wednesday, October 01, 2003
Notice to Members 04-30
NASD Reminds Firms of Sales Practice Obligations In Sale of Bonds and Bond Funds
Tuesday, April 13, 2004
Notice to Members 03-58
NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
Tuesday, September 30, 2003
Notice to Members 03-57
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Tuesday, September 30, 2003
Notice to Members 03-56
Rule Amendments to Require Member Applicants to File Forms U4 Electronically
Monday, September 29, 2003
Notice to Members 03-55
SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
Thursday, September 25, 2003
Notice to Members 04-29
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Thursday, April 15, 2004
Notice to Members 04-28
SEC Approves Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets;
Tuesday, April 06, 2004
Notice to Members 04-27
NASD Solicits Member Vote on Amendments to NASD By-Laws to Reconfigure NASD Board;
Tuesday, April 06, 2004
Notice to Members 03-54
NASD Requests Comment on Proposed Amendments to Rule 2830 (Investment Company Securities)
Wednesday, September 17, 2003
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