Notices

NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)

SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements

SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements

SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory

NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005

Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees

Nominees for NASD Board of Governors

Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)

SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls

Mandatory Use of Combined New Order/Route and Combined New Order/Execution Reports Delayed until April 4, 2005

Clarification of Combined Reporting Format Requirements for Related Order Information Submitted by Multiple Order Sending Organizations

SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access

Nominees for District Committee and District Nominating Committee

NASD Reminds Member Firms of Their Obligations to Ensure the Accuracy and Integrity of Information Entered into Order-Routing and Execution Systems

SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements

SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete

New SEC Procedures Relating to Section 31 of the Securities Exchange Act of 1934

SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators

SEC Approves Amendments to Rule 10308 Regarding the Time for Chairperson Selection

SEC Approves Increase to the Arbitrator Panel Training Fee

SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council

SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS) (This version was updated on 8/19/04)

NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards

SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System

NASD Requests Comment on a Proposed Uniform Branch Office Registration Form

Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities Extended to September 24, 2004

Guidance on the Requirements for Availability of the Bona Fide Fully Arbitraged Exemption

SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings

SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005

Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule) (The effective date has been delayed until 10/12/04)

SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges

SEC Approves Amendments to Rule 6954 Requiring Members to Record and Report Execution Price and Firm Capacity in OATS Execution Reports

Members' Obligations with Respect to the Transfer of Cost Basis Information

Mandatory Changes to OATS New Order, Combined New Order/Route, and Combined New Order/Execution Reports

NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities

NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections

Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements

Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130

NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council