Notices

Notice to Members 06-61
SEC Approves Rule 3170 Requiring Members to Electronically File with or Otherwise Submit to NASD Specified Regulatory Notices or Other Documents
Monday, November 06, 2006
Notice to Members 06-62
SEC Approves Rule 3160 Regarding Submission and Reporting Requirements for Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Monday, November 13, 2006
Notice to Members 06-63
Amendments to Registration Rules Extending the Date by which Eligible Registrants must Complete Continuing Education Program before Engaging in Security Futures Activities;
Monday, November 13, 2006
Notice to Members 06-64
SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Wednesday, November 15, 2006
Notice to Members 06-65
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Wednesday, November 15, 2006
Notice to Members 06-66
NASD Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
Wednesday, November 22, 2006
Notice to Members 06-67
SEC Approves Amendments to NASD Rules to Align Them with Regulation NMS;
Tuesday, November 28, 2006
Notice to Members 06-68
SEC Approves Amendments to Rule 2340 to Allow DVP/RVP Customers to Elect Not to Receive Account Statements
Thursday, November 30, 2006
Notice to Members 06-69
NASD Issues Additional Guidance on Rule 3060 (Influencing or Rewarding Employees of Others)
Monday, December 04, 2006
Notice to Members 06-70
SEC Approves Amendments Expanding the OATS Requirements to OTC Equity Securities and NASD Publishes Revised OATS Reporting Technical Specifications
Monday, December 11, 2006
Notice to Members FYI December 2006
For Your Information
Tuesday, December 12, 2006
Notice to Members 06-71
Clarification of Exemption for Market Makers Acting in the Capacity of Exchange Market Maker and Interpretive Guidance Relating to Riskless Principal Transactions
Tuesday, December 19, 2006
Notice to Members 06-72
Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing;
Thursday, December 21, 2006
Notice to Members 06-73
2007 Trade Date-Settlement Date Schedule
Friday, December 29, 2006
Notice to Members 06-74
Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
Friday, December 29, 2006
Notice to Members 07-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
Wednesday, January 03, 2007
Notice to Members 07-02
SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD's Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com
Monday, January 08, 2007
Notice to Members 07-03
NASD Announces SEC Approval of Amendments to Rule 2860 and Issues Guidance Concerning Large Options Position Reports and Aggregation of Certain Positions;
Friday, January 12, 2007
Notice to Members 07-04
Codification of Interpretations to Rule 2711;
Wednesday, January 24, 2007
Notice to Members 07-05
Amendments to the Fees for Filing Offering Documents by Well Known Seasoned Issuers Pursuant to the Corporate Financing Rule
Wednesday, February 07, 2007
Notice to Members 07-06
Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
Tuesday, February 13, 2007
Notice to Members 07-07
SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Thursday, February 15, 2007
Notice to Members 07-08
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Thursday, February 15, 2007
Notice to Members 07-09
SEC Approves Amendments to NASD Rules to Modify and Expand NASD's Authority to Initiate Trading and Quotation Halts in Over-the-Counter (OTC) Equity Securities;
Friday, February 16, 2007
Notice to Members 07-10
SEC Approves Changes to NASD Interpretive Material 8310-2 Regarding the Release of Information through NASD BrokerCheck
Friday, February 16, 2007