2007 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.

 

7/5/07   Member Alert: Notice of NASD Hotline for Regulation NMS Questions
7/3/07   Member Alert: Processing of Transaction Fees through the NASD/NASDAQ Trade Reporting Facility
6/27/07   Member Alert: NASD Reiterates Guidance Regarding Member's Disclosure of Regulatory Transaction Fees under Section 3 of Schedule A to the NASD By-Laws
6/26/07   Member Alert: Supplement to the Options Disclosure Document
6/20/07   Member Alert: NASD Delays Implementation of the Expansion of IM-2110-2 (Trading Ahead of Customer Orders) to OTC Equity Securities until November 26, 2007
6/13/07   Member Alert: Guidance Relating to "Execution Time" for Purposes of Compliance with NASD Trade Reporting Rules
5/22/07   Member Alert: Guidance Related to ADF Trading Centers Displaying Quote Condition "L"
5/21/07   Member Alert: Exemptive Relief from Certain Trade Reporting Requirements Related to Regulation NMS
5/14/07   Member Alert: NASD Reminds Members of Sales Practice Rules Applicable to Transactions in Exchange-Listed Index Warrants, Currency Warrants and Currency Index Warrants
5/9/07   Member Alert: Supplement to the Options Disclosure Document
4/26/07   Member Alert: NASD Reminds Members That the SEC's "One Percent Rule" Requirements Apply to Nasdaq-listed Securities
4/11/07   Member Alert: Supplement to the Options Disclosure Document
3/2/07   Member Alert: Notice of ADF-Related NYSE Rule Change and Exemption Request
3/1/07   Member Alert: NASD Alerts Members to Private-Party Efforts to Enforce Certain Non-NASD Do-Not-Call Requirements
2/26/07   Member Alert: Securities and Exchange Commission Adjustment to Section 31a Fee Rate
2/23/07   Member Alert: Notice of Regulation NMS-Related Market Structure Changes
2/7/07   Member Alert: Supplement to the Options Disclosure Document
1/25/07   Member Alert: Notice to All TRF Participants Regarding AGU and QSR Relationships
1/3/07   Member Alert: SEC Extends Its Temporary No-Action Relief from SEC Rules 17a-3 and 17a-25 in Connection with NASDAQ's Commencement of Operation as an Exchange
  Member Alert: No Act Letter