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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