Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Notice to Members 03-57
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Notice to Members 03-56
Rule Amendments to Require Member Applicants to File Forms U4 Electronically
Notice to Members 03-55
SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs) (See Nasdaq Head Trader Alert 2003-140)

The effective date of the amendments to ECN Trade Reporting Rules has been delayed until Monday, November 10, 2003. In addition, minor amendments to the Rules have been filed with the SEC on an immediately effective basis, and a new NTM reflecting these amendments will be available shortly. See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm.
Notice to Members 03-53
SEC Announces Immediate Effectiveness of Amendments to Non-Cash Compensation Provisions of Rule 2710 and Rule 2810
Notice to Members 03-54
NASD Requests Comment on Proposed Amendments to Rule 2830 (Investment Company Securities)
Notice to Members 03-52
Nominees for District Committee and District Nominating Committee
Notice to Members 03-51
Amendments to Article VIII of the By-Laws of NASD Regulation, Inc., Regarding District Committees and District Nominating Committees
Notice to Members 03-50
NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
Notice to Members 03-49
Amendments to Rule 3010 to Require Heightened Supervision Plans for Associated Persons with a Specified Threshold of Industry/Regulatory-Related Events (Note: The comment period has been extended to October 31, 2003)

Note: The comment period has been extended to October 31, 2003.
Notice to Members 03-48
SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
Notice to Members 03-47
Refunds to Customers Who Did Not Receive Appropriate Breakpoint Discounts in Connection with the Purchase of Class A Shares of Front-End Load Mutual Funds and the Capital Treatment of Refund Liability
Notice to Members 03-46
Amendments Relating to Requests for Underwriting Activity Reports
Notice to Members 03-45
SEC Approves Amendments to TRACE Rule 6260 to Require New Issue Notifications to Include Dissemination Eligibility Information and Be Submitted in Writing
Notice to Members 03-44
SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of Interest
Notice to Members 03-43
SEC Approves Increase to the Trading Activity Fee
Notice to Members 03-42
SEC Approves Proposed Changes to Forms U4 and U5
Implementation Date: July 14, 2003
Notice to Members 03-41
NASD Has Amended Section 4(b) of Schedule A to the NASD By-Laws to Increase and Establish New Fingerprint Processing Fees
Notice to Members 03-39
of the First Phase of Electronic Fingerprint Processing in July 2003 and Amends Section 4 of Schedule A to the NASD By-Law to Increase and Establish New Fingerprint Processing Fees (This Notice was withdrawn on 07/09/03)
This Notice was withdrawn on 07/09/03.
Notice to Members 03-40
The Regulatory Element Continuing Education Supervisors Program (S201) to be available July 14, 2003, at Pearson VUE centers in London and Paris
the S201 is available now for members that provide In-Firm Delivery of the Regulatory Element.
Notice to Members 03-38
SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
Notice to Members 03-37
New Series 23 Examination
Notice to Members 03-36
SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes
Notice to Members 03-35
SEC Approves NASD Rule Change Giving NASD Authority to Issue and Enforce Temporary Cease and Desist Orders
Notice to Members 03-34
Treasury and SEC Issue Final Rule Regarding Customer Identification Programs for Broker/Dealers
Notice to Members 03-33
Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Notice to Members 03-32
Clarification of NASD Establishment of Consultative Committees
Notice to Members 03-31
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Notice to Members 03-30
SEC Approves Revisions to NASD By-Laws Regarding Trading Activity Fee
Notice to Members 03-29
NASD Requests Comment on Proposal to Amend Rule 3010 and Adopt Interpretive Material 3010-1
Notice to Members 03-28
SEC Approves NASD Rule Proposal Requiring Quotation Recording and Reporting for OTC Equity Securities
Notice to Members 03-27
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Notice to Members 03-26
SEC Approves Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
Notice to Members 03-25
Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003
New Waiver Agreement Form
Notice to Members 03-24
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Notice to Members 03-23
SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
Notice to Members FYI April 2003
For Your Information
Notice to Members 03-22
Dissemination of Additional Corporate Debt Securities Will Begin on April 14, 2003
Notice to Members 03-21
SEC Approves Amendments to NASD Rules Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
Notice to Members 03-20
Technical Changes to the NASD Registration Rules
Notice to Members 03-19
NASD Expands Equity Option Hedge Exemption
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