2005 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.

January | February | March | April | May | June | August | September | October

October 2005

05-67 SEC Approves Uniform Branch Office Definition and Related Interpretive Material;
Effective Date: May 1, 2006
Posted on: 10/6/2005
05-66 SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5;
Effective Date: October 31, 2005
Posted on: 10/6/2005

September 2005

05-59 NASD Provides Guidance Concerning the Sale of Structured Products
Posted on: 9/12/2005

August 2005

05-50 Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities
Posted on: 8/8/2005

June 2005

05-40 NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities;
Comment Period Expired August 5, 2005
Posted on: 5/9/2005

May 2005

05-34 SEC Approves Amendments to Rule 2711 to Prohibit Research Analysts from Participating in a Road Show and from Communicating with Customers in the Presence of Investment Banking Personnel or Company Management about an Investment Banking Services Transaction;
Compliance Date: June 6, 2005
Posted on: 5/3/2005

April 2005

05-29 Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
Posted on: 4/14/2005
05-27 NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period;
Comment Period Expired May 27, 2005
Posted on: 4/13/2005
05-25 NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements;
Comment Period Expired May 20, 2005
Posted on: 4/6/2005
05-24 NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports
Posted on: 4/4/2005

March 2005

05-18 NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Posted on: 3/2/2005
05-17 NASD Adopts New Sanction Guidelines;
Effective Date: March 15, 2005
Posted on: 3/1/2005

February 2005

05-14 NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
Posted on: 2/17/2005

January 2005

05-08 Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities
Posted on: 1/28/2005
05-07 SEC Approves Amendments to Rule 2212 Concerning Frequency of Updates From the National Do-Not-Call Registry;
Effective Date: March 1, 2005
Posted on: 1/28/2005
05-03 NASD Provides Updated Options Exemption Listing for the Trading Activity Fee
Posted on: 1/7/2005