2002 Member Alerts

Member Alerts were published by NASD prior to consolidation with NYSE Member Regulation in 2007 to address significant issues or trends of general interest to firms. FINRA Notices address such issues.

 

11/25/02   Member Alert: NASD Reminds Firms of Email Address Established to Report System Outages to Market Regulation Department - 11/25/02
4/26/02   Member Alert: Section 31 Fee Odd Lot and OTC Options Report - 4/26/02
3/19/02   Member Alert: Takes Steps to Minimize Disruptions of SEC Rule 17a-5 in Light of the Indictment of Arthur Andersen - 3/19/02
3/4/02   Member Alert: SEC Mid-Year Adjustment To Section 31 Fee Rate - 3/4/02
1/28/02   Member Alert: Customer Address Changes and Use of P.O. Boxes - 1/28/02