Notices

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

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

IPO Distribution Manager to Replace Compliance Desk

Filings Required for All New Issues as Defined in Rule 2790

NASD Releases Minor Rule Violation Plan (MRVP) Guidelines

NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest

NASD Revises NASD Sanction Guidelines

NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository

SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry

SEC Approves Amendments to Rule Governing Lending Between Registered Persons and Customers

SEC Approves Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates-Conflicts of Interest)

Change in Policy of Granting Foreign Deferrals to Registered Supervisors and Principals from the Continuing Education Regulatory Element

NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements

SEC Approves Amendments to Membership Application and Continuation Rules (Rules 1011, 1014, and 1017)

SEC Announces Immediate Effectiveness of Amendments to Section 4 of Schedule A to the NASD By-Laws

Effective Date of Amendments to NASD Rule 3370 (Affirmative Determination Requirements) Extended to April 1, 2004

NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text)

Comment Period Expired March 12, 2004

SEC Approves Permanent TRACE Fee Structure and Nine-Month Pilot Program for BTDS Professional Delayed-Time Data Display Fee

NASD Announces Election Results for District Committees and District Nominating Committees

SEC Announces Immediate Effectiveness of Amendments to Section 5 of Schedule A to the NASD By-Laws

SEC Approves NASD Rule Proposal Requiring Members to Make Affirmative Determinations for Short Sale Orders Received from Non-Member Broker/Dealers