Notices

Notice to Members 03-38
SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
Monday, July 07, 2003
Notice to Members 03-37
New Series 23 Examination
Tuesday, July 01, 2003
Notice to Members 03-33
Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Wednesday, June 18, 2003
Notice to Members 04-15
SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry
Tuesday, March 02, 2004
Notice to Members 03-17
Sales Material for Municipal Fund Securities
Monday, March 24, 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 04-45
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 02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures;
Thursday, October 24, 2002
Notice to Members 02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures;
Thursday, October 24, 2002