Notices

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
Notice to Members 03-51
Amendments to Article VIII of the By-Laws of NASD Regulation, Inc., Regarding District Committees and District Nominating Committees
Friday, September 12, 2003
Notice to Members 02-79
Notice of Meeting and Proxy
Thursday, October 31, 2002
Notice to Members 04-40
NASD Clarifies ACT Short Sale Reporting Requirements
Friday, May 28, 2004
Notice to Members 04-39
SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements;
Wednesday, May 19, 2004
Notice to Members 02-84
2003 Trade Date Settlement Date Schedule
Monday, December 09, 2002
Notice to Members 03-73
NASD Announces Online Availability of Comments
Wednesday, November 26, 2003