Notices

Notice to Members 02-85
NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
Monday, December 23, 2002
Notice to Members 02-79
Notice of Meeting and Proxy
Thursday, October 31, 2002
Notice to Members 04-45
NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities;
Wednesday, June 09, 2004
Notice to Members 04-44
Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
Wednesday, June 02, 2004
Notice to Members 04-43
Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
Wednesday, June 02, 2004
Notice to Members 04-42
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Tuesday, June 08, 2004
Notice to Members 04-41
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Tuesday, June 01, 2004
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 02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures;
Thursday, October 24, 2002
Notice to Members 03-81
Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
Tuesday, December 30, 2003
Notice to Members 03-80
NASDAQ Announces New Service Termination Policy Effective January 1, 2004
Tuesday, December 30, 2003
Notice to Members 03-79
SEC Approves New Rule 2790 (Restrictions on the Purchase and Sale of IPOs of Equity Securities); Replaces Free-Riding and Withholding Interpretation; Voluntary
Tuesday, December 23, 2003
Notice to Members 03-78
2004 Trade Date Settlement Date Schedule
Wednesday, December 10, 2003
Notice to Members 03-77
Disclosure of Mutual Fund Expense Ratios in Performance Advertising: NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
Tuesday, December 09, 2003
Notice to Members 03-76
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program); Access to Information Available Under Interpretive Material 8310-2
Thursday, December 04, 2003
Notice to Members 03-75
Notice of Meeting and Proxy
Tuesday, December 02, 2003
Notice to Members 03-74
Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
Wednesday, November 26, 2003
Notice to Members 03-73
NASD Announces Online Availability of Comments
Wednesday, November 26, 2003
Notice to Members 03-72
Request for Comment on Regulatory Approaches to Enhance IPO Pricing Transparency
Monday, November 24, 2003