2004 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.

 

12/14/04   Member Alert: SEC Adjustment to Section 31 Fee Rate - 12/14/04
10/1/04   Member Alert: Conduct Rule 3070 - System Changes - 11/16/04
10/1/04   Member Alert: Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act - 10/1/04
9/24/04   Member Alert: SEC Approves CEO Compliance Certification Rule - 9/24/04
6/9/04   Member Alert: Observance of the National Day of Mourning, June 11, 2004
5/10/04   Member Alert: Hypothetical Tax-Deferral Illustrations in Variable Annuity Communications - 5/10/04
3/30/04   Membert Alert: Facilitating Refunds of Missed Breakpoint Discounts - 3/30/04
3/30/04   Member Alert: Facilitating Refunds of Missed Breakpoint Discounts
3/4/04   Member Alert: Mid-Year Adjustment to Section 31 Fee Rate  Rate Change Effective 4/1/04
2/25/04   Member Alert: NASD Needs Additional Qualified Arbitrators - 2/25/04
2/4/04   Member Alert: Department of the Treasury and FinCEN Alert Regarding Fraudulent Scams - 2/4/04
1/28/04   Member Alert: SEC Adjustment to Section 31 Fee Rate - 1/28/04
1/8/04   Member Alert: SEC Amends Investment Company Advertising Rules - 1/8/04
  Member Alert: Annual Certification of Compliance and Supervisory Processes