Notices

Notice to Members 05-25
NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements
Wednesday, April 06, 2005
Notice to Members 05-27
NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period
Wednesday, April 13, 2005
Notice to Members 05-29
Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
Thursday, April 14, 2005
Notice to Members 04-64
SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete;
Tuesday, August 24, 2004
Notice to Members 04-71
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls
Monday, October 04, 2004
Notice to Members 04-72
Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
Tuesday, October 05, 2004
Notice to Members 04-81
SEC Approves New NASD Qualification Requirements forSupervisors of Research Analysts
Wednesday, November 10, 2004
Notice to Members 04-86
SEC approves NASD Interpretive Material to Rule 2210 regarding member firms' use of investment analysis tools
Tuesday, November 16, 2004
Notice to Members 04-89
NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
Wednesday, December 08, 2004
Notice to Members 05-03
NASD Provides Updated Options Exemption Listing for the Trading Activity Fee
Friday, January 07, 2005
Notice to Members 05-07
SEC Approves Amendments to Rule 2212 Concerning Frequency of Updates From the National Do-Not-Call Registry
Friday, January 28, 2005
Notice to Members 05-08
Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities
Friday, January 28, 2005
Notice to Members 05-14
NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
Thursday, February 17, 2005
Notice to Members 05-17
NASD Adopts New Sanction Guidelines
Tuesday, March 01, 2005
Notice to Members 05-18
NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Wednesday, March 02, 2005
Notice to Members 97-27
Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
Thursday, May 01, 1997
Notice to Members 96-60
Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities
Sunday, September 01, 1996
Notice to Members 97-01
Approval of Telemarketing Amendments
Wednesday, January 01, 1997
Notice to Members 96-50
Supervisory and Other Obligations Related to Use of Electronic Media
Monday, July 01, 1996
Notice to Members 99-35
The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities
Saturday, May 01, 1999
Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Friday, May 01, 1998
Notice to Members 99-16
SEC Approves Changes to Rules Regarding Membership and Registration; Investigation and Sanctions; and Conduct and Code of Procedure
Monday, February 01, 1999
Notice to Members 99-11
NASD Regulation Issues Guidance Regarding Stock Volatility
Monday, February 01, 1999
Notice to Members 98-11
SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence; Effective February 15, 1998
Thursday, January 01, 1998
Notice to Members 99-03
SEC Approves Rule Amendments Requiring Review of Incoming, Written Correspondence; Effective March 15, 1999
Friday, January 01, 1999