2005 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.

 

12/5/05   Member Alert: Securities and Exchange Commission Adjustment to Section 31 Fee Rate
11/22/05   Member Alert: NASD Reminds Members of Their Responsibilities Regarding Sales of Mutual Fund Shares and Dealer Agreements
9/30/05   Member Alert: Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act - 9/30/05
3/10/05   Member Alert: SEC Adjustment to Section 31 Fee Rate - 3/10/05
1/27/05   Member Alert: NASDAQ Announces New Access Protocol - 1/27/05