2006 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.

 

12/29/06   Member Alert: Observance of the National Day of Mourning, January 2, 2007
12/13/06   Member Alert: Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
11/17/06   Member Alert: Additional Guidance Regarding the Automated Reporting of Transactions Subject to a Regulatory Transaction Fee
10/3/06   Member Alert: Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
3/13/06   Member Alert: Securities and Exchange Commission Section 31 Fee Rate Update