Notices

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

NASD Clarifies ACT Short Sale Reporting Requirements

SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements

NASD Reminds Member Firms of Their Obligations to Adhere to Credit Extension Requirements and Day Trading Margin Rules

SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information

SEC Approves NASD Proposed Rule 9550 Series on Expedited Proceedings

NASD Reminds Member Firms of Their Obligations to File Certain Financial Reports

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

Limited Net Capital Relief from the Reclassification of Certain Equity as Liabilities in Accordance with Statement of Financial Accounting Standards No. 150 (Action required by 05/10/04)

NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections (This version corrects certain administrative and other non-substantive text)

SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information

NASD Reminds Firms of Sales Practice Obligations In Sale of Bonds and Bond Funds

SEC Approves Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets

NASD Solicits Member Vote on Amendments to NASD By-Laws to Reconfigure NASD Board

Due to a change in our publishing schedule, there is no Notice numbered 04-34

NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)

SEC Approves New NASD Research Analyst Qualification and Examination Requirements (Series 86/87)

SEC Announces Immediate Effectiveness of IM-3150 Governing Exemptions from the Reporting Requirements of NASD Rule 3150

NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5)

and (2) Adopting a Rule to Create an Inactive Disclosure

SEC Approves Amendments to Rule 1120 (Continuing Education Requirements) Regarding Regulatory Element Contact Person

NASD Provides Further Guidance on Amendments to NASD Rule 3370 — Affirmative Determination Requirements