Notices

NASD Provides Additional Information on the Trading Activity Fee

NASD Requests Comment on its Public Information Review Initiative

SEC Approves New Rules and Rule Amendments Concerning Security Futures

For Your Information (October)

For Your Information

Veterans' Day and Thanksgiving Day

NASDAQ Provides Guidance on Recent Amendments to "Trade-or-Move" Rule and SuperMontage Opening Process

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

Clarification of Member Obligations Regarding Brokered Certificates of Deposit

in California arbitration proceedings must waive contested California arbitrator disclosure standards if all parties who are investors, or associated persons with claims of statutory employment discrimination, have executed waiver agreements

Broker/Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2003

SEC Approves NASD Rule 2315

Recommendations to Customers in OTC Equity Securities

Nominees for District Committee and District Nominating Committee

NASD Advises Members that Participation in Tying Arrangements that Violate Federal Statutes Also Violate Just and Equitable Principles of Trade

Requests Information Concerning Such Practices

NASD Provides Additional Information on Amendments to Section 8 of Schedule A to NASD's By-Laws to Eliminate the Regulatory Fee and to Implement a New Transaction-Based Trading Activity Fee as Announced in Notice to Members 02-41

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

SEC Approves Proposed Changes to the Taping Rule and NASD Interpretive Material 8310-2

Columbus Day

SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers

SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims

Use of Negative Response Letters for the Bulk Transfer of Customer Accounts

Nominees for NASD Board of Governors

NASD Requests Comment on Proposed New Rule 2712 (IPO Allocations and Distributions) and on an Amendment to Rule 2710 (Corporate Financing Rule)

NASD Requests Comment on Proposed Amendments to Rules 1014 and 1017

NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD

Revises Letters Sent When Determination Made to Close an Investigation Without Further Action

NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition")

For Your Information (August)

For Your Information

NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools.

Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements

NASD Adopts Amendments to IM-8310-2 Concerning Release of Disciplinary Information to the Public

NASD Amends Section 4 of Schedule A to the NASD By-Laws to Establish a Late Fee for Failure to Pay Annual Renewal Fees on a Timely Basis

Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers

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

Alternative Display Facility (ADF) Nine-Month Pilot Approved for Trading in Nasdaq Securities

NASD Requests Comment on Application of Rule 2711 to Small Firms

NASD Informs Members of Proposed Changes to NASD's Gross Income Assessment, Personnel Assessment, and Regulatory Fee

For Your Information (July)

For Your Information

Labor Day: Trade Date — Settlement Date Schedule