May | June | July | August | September | October | November

November 2002

02-73 SEC Approves New Rules and Rule Amendments Concerning Security Futures; Effective Date: October 15, 2002 Posted on: 10/24/2002

October 2002

02-69 Clarification of Member Obligations Regarding Brokered Certificates of Deposit Effective Date: October 8, 2002 Posted on: 10/17/2002

September 2002

02-57 Use of Negative Response Letters for the Bulk Transfer of Customer Accounts Posted on: 9/11/2002

August 2002

02-52 NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition"); Comment Period Expired October 21, 2002 Posted on: 8/21/2002

02-51 NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools. Comment Period Expired October 1, 2002 Posted on: 8/15/2002

02-44 NASD Requests Comment on Application of Rule 2711 to Small Firms; Comment Period Expired on August 30, 2002 Posted on: 7/26/2002

July 2002

02-39 SEC Approves Rule Governing Research Analysts Conflicts of Interest Posted on: 6/26/2002

June 2002

02-35 NASD Adopts Amendments Regarding the Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites Effective Date: July 1, 2002 Posted on: 6/11/2002

May 2002

02-28 Member Obligations Regarding Long-Term or Brokered Certificates of Deposit Note: This Notice is superseded by Notice to Members 02-69. Posted on: 5/8/2002