Regulation
1999 Notices to Members
| January | February | March | April | May | June | July | August | September | October | November | December |
December 1999 |
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99-107
Fixed Income Pricing System Additions, Changes, and Deletions as of October 22, 1999
Posted on: 12/10/1999
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99-106
NASD 2000 Holiday Schedule
Posted on: 12/10/1999
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99-105
Trade Date--Settlement Date Schedule for 2000
Posted on: 12/10/1999
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99-104
Maximum SOES Order Sizes Set to Change January 10, 2000
Posted on: 12/10/1999
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99-103
SEC Approves Rule Change Relating to Sales Charges for Investment Companies and Variable Contracts; Effective Date:
April 1, 2000
Posted on: 12/10/1999
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99-102
NASD Announces Changes to Regulation T and SEC Rule 15c3-3 Extension Request Reason Codes;
Effective Date: February 7, 2000
Posted on: 12/10/1999
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99-101
NASD Regulation to Launch Additional Form Filing Regulatory Applications
Posted on: 12/10/1999
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99-100
SEC Approves Creation of Dispute Resolution Subsidiary and Related By-Laws And Rule Changes
Posted on: 12/10/1999
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99-099
NASD Regulation Reiterates Obligations to Display Customer Limit Orders Pursuant to SEC Rule 11Ac1-4
Posted on: 12/10/1999
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99-098
NASD Regulation Reiterates That Members Must Comply With All Short Sale Rules When Receiving Orders Through Electronic Order Systems or the Internet and Reiterates the Operation of the Affirmative Determination Rule
Posted on: 12/10/1999
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99-097
NASD Office of the Ombudsman Clarifies its Role
Posted on: 12/10/1999
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99-096
SEC Approves New Arbitration Disclosure Rule And Procedures for Employment Arbitration;
Effective Date: January 18, 2000
Posted on: 11/30/1999
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For Your Information
Posted on: 12/10/1999
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Disciplinary and Other NASD Actions
Posted on: 12/15/1999
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November 1999 |
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99-95
NASD Announces Changes to the By-Laws Associated Person Definition; Effective Date: December 1, 1999
Posted on: 11/10/1999
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99-94
Christmas Day: Trade Date--Settlement Date Schedule
Posted on: 11/10/1999
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99-93
Fixed Income Pricing System Additions, Changes, and Deletions as of September 22, 1999
Posted on: 11/10/1999
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99-92
SEC, NASD Regulation, and NYSE Issue Joint Statement on Broker/Dealer Risk Management Practices
Posted on: 11/10/1999
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99-91
NASD Revises and Replaces Notice to Members 99-59 and Issues New Censure Policy
Posted on: 11/10/1999
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99-90
NASD Regulation Announces New Discovery Guide to be Used in Arbitration Proceedings
Posted on: 10/25/1999
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Disciplinary and Other NASD Actions
Posted on: 11/15/1999
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October 1999 |
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99-89
NASD Informs Members of Election Results for District Committees and District Nominating Committees
Posted on: 10/11/1999
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99-88
Veterans Day and Thanksgiving Day: Trade Dates--Settlement Dates Schedule
Posted on: 10/11/1999
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99-87
Fixed Income Pricing System Additions, Changes, and Deletions as of August 23, 1999
Posted on: 10/11/1999
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99-86
NASD Regulation Adopts Policy Regarding Imposition and Collection of Monetary Sanctions
Posted on: 10/11/1999
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99-85
Broker/Dealer and Agent Renewals for 2000; CRD Fee Changes
Posted on: 10/11/1999
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99-84
NASD to Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Posted on: 9/28/1999
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Disciplinary and Other NASD Actions
Posted on: 10/15/1999
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September 1999 |
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99-83
Columbus Day: Trade Date--Settlement Date Schedule
Posted on: 9/10/1999
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99-82
Fixed Income Pricing System Additions, Changes, and Deletions as of July 22, 1999
Posted on: 9/2/1999
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99-81
NASD Requests Comment on Proposed Salesperson Compensation Rules;
Comment Period Expired October 29, 1999
Posted on: 9/2/1999
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99-80
Maximum SOES Order Sizes Set To Change October 1, 1999
Posted on: 9/10/1999
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99-79
NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications With the Public;
Comment Period Expired October 29, 1999
Posted on: 9/2/1999
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99-78
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Posted on: 9/10/1999
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99-77
NASD Regulation Modifies Default Decision Procedures
Posted on: 9/10/1999
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99-76
Update on OTC Bulletin Board Eligibility Rule
Posted on: 8/26/1999
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99-75
Series 7 Examination Fee Increase Effective
September 15, 1999
Posted on: 8/18/1999
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For Your Information
Posted on: 9/10/1999
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Disciplinary and Other NASD Actions
Posted on: 9/15/1999
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August 1999 |
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99-74
Nominees for District 10 District Committee and District Nominating Committee
Posted on: 8/11/1999
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99-73
NASD Requests Comment on Proposed Amendments to the Code of Procedure and Other Provisions;
Comment Period Expired September 13, 1999
Posted on: 8/10/1999
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99-72
Fixed Income Pricing System Additions, Changes, and Deletions as of June 22, 1999
Posted on: 8/10/1999
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99-71
Labor Day: Trade Date--Settlement Date Schedule
Posted on: 8/10/1999
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99-70
NASD Regulation Announces New Web-Based FOCUS Filing System-to be Available for September 1999 Filings
Posted on: 8/6/1999
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99-69
NASD Regulation Requests Comment on Proposed Trading Halt Rules;
Comment Period Expired September 30, 1999
Posted on: 8/10/1999
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99-68
NASD Regulation Announces its Policy on Enforcement of Disciplinary Sanctions During the Pendency of Circuit Court Appeals
Posted on: 8/10/1999
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99-67
NASD Requests Comment on Proposed Amendments to Membership Rules;
Comment Period Expired September 13, 1999
Posted on: 8/10/1999
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99-66
SEC Approves Prior Reference Price Trade Modifier, Changes to Bunching Rules, and Riskless Principal Trade-Reporting Rules for the Third Market
Posted on: 8/10/1999
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99-65
SEC Approves Rule Changes to NASD Trade-Reporting Rules for Riskless Principal Transaction in Nasdaq and OTC Securities
Posted on: 8/6/1999
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99-64
NASD Informs Members of Upcoming Nomination Procedures for Industry Member Vacancies on the National Adjudicatory Council
Posted on: 8/4/1999
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99-63
SEC Approves and Adopts Revised Forms and Electronic Filing Requirement; New Member Applicants Should Continue to File Paper Forms
Posted on: 8/2/1999
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For Your Information
Posted on: 8/10/1999
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Disciplinary and Other NASD Actions
Posted on: 8/16/1999
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July 1999 |
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| 99-62 Nominees For District Committees And District Nominating Committees |
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99-61
SEC Approves Changes to Rule 4613--Firm Quotation Requirements;
Effective Date: August 2, 1999
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| 99-60 Fixed Income Pricing System Additions, Changes, and Deletions as of May 24, 1999 |
| 99-59 NASD Will no Longer Impose Censures for Some Violations |
| 99-58 SEC Grants Exemption From Rule 15c2-11 for Securities Being Removed From The OTCBB Pursuant to The NASD Eligibility Rule |
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99-57
SEC Approves Rule Amendments Governing Clearing Firms And Their Introducing Firm Clients' Relationship;
Effective Date: July 19, 1999
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| 99-56 NASD Regulation Announces CRD "System Transition Period" Immediately Preceding The Deployment Of Web CRD |
| 99-55 Questions and Answers Relating to Non-Cash Compensation Rules |
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99-54
NASD Regulation Seeks Comment on Issues Relating to Arbitrator-Ordered Expungements of Information From The Central Registration Depository;
Comment Period Expired August 31, 1999
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| 99-53 NASD Regulation Offers Guidance to Members Forwarding Mini Tender Offers to Their Customers |
| For Your Information |
| Disciplinary and Other NASD Actions |
June 1999 |
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99-52
Mail Vote--NASD Solicits Vote on Amendments to NASD By-Laws to The Associated Person Definition;
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
Last Voting Date: July 16, 1999
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99-51
NASD Regulation Requests Comment on Requiring Chief Compliance Officers to be Registered;
Comment Period Expired July 16, 1999
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| 99-50 SEC Approves Amendments To Corporate Financing Rule Filing Fees |
| 99-49 NASD Regulation Provides Interpretive Guidance on Registration Requirements |
| 99-48 Independence Day: Trade Date--Settlement Date Schedule |
| 99-47 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 22, 1999 |
| 99-46 Maximum SOES Order Sizes Set to Change July 1, 1999 |
| 99-45 NASD Provides Guidance on Supervisory Responsibilities |
| 99-44 SEC Approves Interpretations And Allocation Chart For Proprietary Accounts Of Introducing Broker/Dealers |
| 99-43 Update on OTC Bulletin Board Eligibility Rule |
| 99-42 NASD Offers Guidance on Complying with Notice Requirements of New SEC Rule Regarding Alternative Trading Systems |
| 99-41 NASD Announces New Electronic Filing System for Corporate Financing Filings |
| 99-40 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections |
| For Your Information |
| Disciplinary and Other NASD Actions |
May 1999 |
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| 99-39 The NASD Prepares for Move to Decimals |
| 99-38 Fixed Income Pricing System Additions, Changes, and Deletions as of March 23, 1999 |
| 99-37 NASD Reminds Members of Their Obligations Regarding Electronic Distribution of Nasdaq and OTC Market Data |
| 99-36 Members Reminded to Report Executive Representative and Address Changes |
| 99-35 The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities |
| 99-34 NASD Offers Guidance on Complying with New SEC Rule Regarding Alternative Trading Systems; Rule Effective April 21, 1999 |
| Year 2000 Update |
| Disciplinary and Other NASD Actions |
April 1999 |
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99-33
NASD Regulation Advises Members About Maintenance Margin Requirements for Certain Volatile Stocks and Solicits Comment on Margin Practices;
Comment Period Expired May 31, 1999
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99-32
NASD Regulation Requests Comment on Proposed Rules Regarding Approval Procedures for Day-Trading Accounts, Including Appropriateness Determinations, and Disclosure of Risks of Day-Trading Activities;
Comment Period Expired May 31, 1999
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| 99-31 Memorial Day: Trade Date--Settlement Date Schedule |
| 99-30 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 19, 1999 |
| 99-29 SEC Approves Changes to Clearly Erroneous Trade Adjudication Procedures; Changes Effective April 26, 1999 |
| 99-28 NASD Reminds Members of Obligations Relating to the Short-Sale Rule |
| 99-27 Order Audit Trail System Phase 2 Firms Required to Register; Firms Should Register by April 1, 1999 |
| 99-26 NASD Will Terminate Form 211 Applications if Applicants do not Respond to NASD Deficiency Letters Within 180 Calendar Days |
| Year 2000 Update |
| For Your Information |
| Disciplinary and Other NASD Actions |
March 1999 |
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| 99-25 Good Friday: Trade Date--Settlement Date Schedule |
| 99-24 Fixed Income Pricing System Additions, Changes, and Deletions as of January 21, 1999 |
| 99-23 SEC Approves New Arbitration Fees; Effective March 18, 1999 |
| 99-22 Maximum SOES Order Sizes Set to Change April 1, 1999 |
| 99-21 The Nasdaq Stock Market Eliminates the SOES Five-Minute Presumption |
| 99-20 SEC Approves Rule Change Increasing Position Limits on Standardized Equity Options; NASD Reminds Members of Their Reporting Obligations When Trading Options |
| Year 2000 Update |
| For Your Information |
| Disciplinary and Other NASD Actions |
February 1999 |
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| 99-19 Fixed Income Pricing System Additions, Changes, and Deletions as of December 22, 1998 |
| 99-18 Annual Checklist of NASD Notices to Members |
| 99-17 SEC Approves Amendments Regarding Application of the Corporate Financing Rule to Certain Offerings by Charitable Organizations |
| 99-16 SEC Approves Changes to Rules Regarding Membership and Registration; Investigation and Sanctions; and Conduct and Code of Procedure |
| 99-15 SEC Approves Rule Amendments Limiting Quotations on OTC Bulletin Board to Reporting Securities |
| 99-14 NASD Grants Exemptive Relief Under MSRB Rule G-37(i) |
| 99-12 NASD Regulation Issues Guidance Concerning the Operation of Automated Order Execution Systems During Turbulent Market Conditions |
| 99-11 NASD Regulation Issues Guidance Regarding Stock Volatility |
| 99-10 NASD Guidelines for Compliance with New Requirements for Non-California Attorneys Representing Parties in NASD Arbitrations in California |
| 99-09 NASD Regulation Imposes Moratorium on Arbitrator-Ordered Expungements of Information from the Central Registration Depository |
| Year 2000 Update |
| Disciplinary and Other NASD Actions |
January 1999 |
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| 99-13 NASD Alerts Members to Year 2000 Mandatory Testing Activities |
| 99-08 Martin Luther King, Jr. Day and Presidents Day: Trade Date--Settlement Date Schedule |
| 99-07 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1998 |
| 99-06 1998-1999 Renewal Rosters and Final Adjusted Invoices Market-Wide Trading Halts |
| 99-05 SEC Issues Guidance on Handling Customer Orders During Market-Wide Trading Halts |
| 99-04 Revised OATS Reporting Technical Specifications Released |
| 99-03 SEC Approves Rule Amendments Requiring Review of Incoming, Written Correspondence; Effective March 15, 1999 |
| 99-02 NASD Regulation Withdraws Risk Disclosure Proposal |
| 99-01 Office of Disciplinary Affairs to Authorize All Enforcement Actions |
| Year 2000 Update |
| For Your Information |
| Disciplinary and Other NASD Actions |