2003 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.

 
March | July | August | September
 

September 2003

03-50 NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
Posted on: 9/5/2003
03-49 NASD Requests Comment on Proposed 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.
Posted on: 9/5/2003
 

August 2003

03-48 SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
Posted on: 8/28/2003
03-44 SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of Interest
Posted on: 8/3/2003
 

July 2003

03-38 SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
Posted on: 7/7/2003
03-37 New Series 23 Examination;
Effective Date: July 7, 2003
Posted on: 7/1/2003
03-33 Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Posted on: 6/18/2003
 

March 2003

03-17 Sales Material for Municipal Fund Securities
Posted on: 3/25/2003