Notices

SEC Approves Changes To Transaction Reporting Procedures For Weighted Average And Special Pricing Formula Trades

NASD Regulation, Inc. Reiterates The Obligation Of Member Firms To Comply With Trading Rules, Particularly Immediately Prior To The Close On Expiration Fridays And Index Rebalancing Days

SEC Approves Trade Halt Rule For OTCBB

Independence Day: Trade Date — Settlement Date Schedule

Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 2000

Nasdaq Releases Its Latest Decimalization Testing Schedule

NAC Issues Decision On MSRB Rule G-37 Exemptive Relief

SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board

NASD Regulation Reminds Firms Of CRD Continuing Education Notification Method And Informs Firms To Review Written Supervisory Procedures

NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections

NASD Regulation Adopts New Rule Interpretation To Require Confirmation Disclosure Of Callable Common Stock

SEC Suspends Decimalization Deadline And Requests Comment On Extended Deadline

Fixed Income Pricing System Additions, Changes, And Deletions As Of March 23, 2000

SEC Approves New Systems And Rules Governing Delivery, Negotiation, And Execution Of Orders For Nasdaq National Market Securities

SEC Approves Changes To Nasdaq Locked/Crossed Markets Rule

SEC Approves Use Of Hard To Borrow List To Comply With The Affirmative Determination Requirement For Short Sales (Rule 3370)

Deadline Extended For Series 55 Equity Trader Examination To October 1, 2000

NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information

Memorial Day: Trade Date — Settlement Date Schedule

Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 2000

SEC Approves New Rules Relating To Bond Mutual Fund Volatility Ratings

SEC Approves New Voluntary Single Arbitrator Pilot Program For A Two-Year Period

NASD Regulation Reminds Members Of Their Responsibilities When Advertising Recent Mutual Fund Performance

For Your Information (March)

For Your Information

Good Friday: Trade Date — Settlement Date Schedule

Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 2000

NASD Regulation Issues Statement Of Policy Regarding Recordation By Members Of NASD Examinations

NASD Regulation Requests Comment On Proposed Recordkeeping And Reporting Requirements For Quotations On Certain Automated, Inter-Dealer Quotation Systems

SEC Approves Changes To NASD Public Disclosure Program (Interpretive Material 8310-2)

SEC Approves Rule Change Relating To Filing Requirements For Independently Prepared Research Reports

NASD Members Must Update Firm Contact Information Via The NASD Regulation Web Site By April 30, 2000

Nominees For NASD Board Of Governors

For Your Information (February)

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)