2002 Advertising Regulation-Related Notices to Members

Use the Advertising Regulation-Related Notices Subject Index to locate a Notice by topic, or browse Notices by date below.

 
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Note: This Notice is superseded by Notice to Members 02-69.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