Notices

For Your Information

Amendments Adopted To Clarify The Application Of NASD Rules To Offerings Under SEC Rule 504 And Intra-State-Only Offerings

Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1999

Nasdaq Reiterates Clearly Erroneous Complaint Procedures

NASD Issues Various MSRB Rule G-37 Decisions On Exemptive Relief

For Your Information (January)

For Your Information

NASD Reminds Members Of Their Obligations Regarding Municipal Securities Transaction Reporting

Disclosure To Customers Engaging In Extended Hours Trading

The Countdown To Decimals

Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1999

Martin Luther King, Jr. Day And Presidents Day: Trade Date — Settlement Date Schedule

Annual Checklist Of NASD Notices to Members

NASD Alerts Members To Their Obligations Concerning Soliciting Business In Foreign Jurisdictions

1999-2000 Renewal Rosters And Final Adjusted Statements

For Your Information (December)

For Your Information

NASD Regulation Reiterates That Members Must Comply With All Short Sale Rules When Receiving Orders Through Electronic Order Systems Or The Internet And Reiterates The Operation Of The Affirmative Determination Rule

NASD Office Of The Ombudsman Clarifies Its Role

Fixed Income Pricing System Additions, Changes, And Deletions As Of October 22, 1999

NASD 2000 Holiday Schedule

Trade Date—Settlement Date Schedule For 2000

Maximum SOES Order Sizes Set To Change January 10, 2000

SEC Approves Rule Change Relating To Sales Charges For Investment Companies And Variable Contracts

NASD Announces Changes To Regulation T And SEC Rule 15c3-3 Extension Request Reason Codes

NASD Regulation To Launch Additional Form Filing Regulatory Applications

SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes

NASD Reiterates Obligations To Display Customer Limit Orders Pursuant To SEC Rule 11Ac1-4

Year 2000 Update (December)

SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers

SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration

NASD Announces Changes To The By-Laws Associated Person Definition

Christmas Day: Trade Date—Settlement Date Schedule

Fixed Income Pricing System Additions, Changes, And Deletions As Of September 22, 1999

SEC, NASD Regulation, And NYSE Issue Joint Statement On Broker/Dealer Risk Management Practices

NASD Revises And Replaces Notice to Members 99-59 And Issues New Censure Policy

Year 2000 Update (November)

NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings

NASD Informs Members Of Election Results For District Committees And District Nominating Committees