Notices

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 03-71
NASD Reminds Members of Obligations When Selling Non-Conventional Investments
Tuesday, November 11, 2003
Notice to Members 03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Thursday, November 06, 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 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