2004 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.

 
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December 2004

04-89 NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
Posted on: 12/8/2004
 

November 2004

04-86 SEC approves NASD Interpretive Material to Rule 2210 regarding member firms' use of investment analysis tools;
Effective Date: February 14, 2005
Posted on: 11/16/2004
04-81 SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts;
Compliance Date: No Later Than August 2, 2005
Posted on: 11/10/2004
 

October 2004

04-72 Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
Posted on: 10/5/2004
04-71 SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls;
Effective Date: January 31, 2005
Posted on: 10/4/2004
 

August 2004

04-64 SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete;
Effective Date: August 10, 2004
Posted on: 8/24/2004
 

June 2004

04-45 NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities;
Comment Period Expires August 9, 2004
Posted on: 6/9/2004
 

April 2004

04-35 NASD Reminds Member Firms of Their Obligations to File Certain Financial Reports
Posted on: 4/30/2004
 

March 2004

04-26 NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
Posted on: 3/31/2004
04-23 NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan (MRVP) 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 Review Registration Status;
Comment Period Expired April 19, 2004
Posted on: 3/18/2004
04-19 NASD Releases Minor Rule Violation Plan (MRVP) Guidelines
Posted on: 3/9/2004
04-18 NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
Posted on: 3/9/2004
04-15 SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry;
Effective Date: March 31, 2004
Posted on: 3/2/2004