Notices

Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE

Nominees for NASD Board of Governors

NASD Announces Election Results for District Committees and District Nominating Committees

Supervisory Controls and Annual CEO Certification

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006

Payment Deadline: December 14, 2005

SEC Approves Amendments to NASD Rule 3150, Regarding Reporting Requirements for Clearing Firms, and NASD Rule 3230, Regarding Requirements for Clearing Agreements

SEC approves NASD Interpretive Material to Rule 9216 regarding NASD's MRVP

Revisions to the Series 4, 6 and 9/10 Examination Programs

SEC Approves New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances

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

SEC Approves Uniform Branch Office Definition and Related Interpretive Material

SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5

SEC Approves Amendments Relating to Rule 2790

SEC Approves Amendments to IM-2110-2 to Require Members to Provide Price Improvement to Customer Limit Orders in Certain Circumstances and to Expand IM-2110-2 to Exchange-Listed Securities

NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting

Comment Period Expired November 29, 2005

Nominees for District Committee and District Nominating Committee

NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee

Comment Period Expired October 31, 2005

Important Information Regarding the Suspension of Trading in the Securities of Bancorp International Group, Inc. (BCIT.PK)

NASD Provides Guidance Concerning the Sale of Structured Products

Intermarket Surveillance Group (ISG)1 Requires Validation of Electronic Blue Sheet Submissions

Guidance to Members Affected by Hurricane Katrina

Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options

SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions

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

SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser

Member Obligations with Respect to Volume-Weighted Average Price Transactions

Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities

Due to a change in the publishing schedule, there is no Notice numbered 05-53.

NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information

Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers

Unexpected Close of Securities Markets

SEC Approves Amendments Relating to Taping Rule "Opt Out" and Exemption Provisions

Agency Securities Lending Disclosure Initiative

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

SEC Approves Amendments Relating to Annual Compliance Meetings

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

Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.1

NASD Suggests Best Practices for Fingerprinting Procedures

NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts

Immediate Action May Be Required to Ensure Compliance

NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data