2000 Notices to Members

 
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December 2000

00-90 Mail Vote - NASD Solicits Vote on Amendments to the NASD By-Laws on Selected Corporate Governance Issues;
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: January 22, 2001
Posted on: 12/21/2000
00-89 NASD 2001 Holiday Schedule
Posted on: 12/11/2000
00-88 Trade Date - Settlement Date Schedule for 2001
Posted on: 12/11/2000
00-87 Fixed Income Pricing System Additions, Changes, and Deletions as of November 22, 2000
Posted on: 12/11/2000
00-86 Review of Decimalization Testing
Posted on: 12/11/2000
00-85 NASD to Deduct Delinquent Corporate Financing Filing Fees from CRD Account
Posted on: 12/11/2000
00-84 NASD Regulation Requests Comment on a Proposed Amendment to NASD Rule 2320(g) to Exclude Certain Transactions in Foreign Securities;
Comment Period Expired January 11, 2001
Posted on: 12/11/2000
00-83 NASD Regulation to Make Statutory Disqualification Decisions Publicly Available in Redacted Format
Posted on: 12/11/2000
For Your Information
Posted on: 12/11/2000
Disciplinary and Other NASD Actions
Posted on: 12/15/2000
 

November 2000

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00-82 Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
Posted on: 11/10/2000
00-81 Fixed Income Pricing System Additions, Deletions, and Changes as of October 23, 2000
Posted on: 11/10/2000
00-80 Nasdaq Decimalization Testing & Decimalization Implementation Phase-In Plan
Posted on: 11/10/2000
00-79 Nasdaq Adopts Alternative Approach for Complying With Riskless Principal Trade-Reporting Rules and Issues Net Trading Interpretation; Riskless Principal Trade-Reporting Rules will be Implemented on February 1, 2001
Posted on: 11/10/2000
00-78 SEC Approves Proposed Changes to the NASD Three Quote Rule and Related Recordkeeping Requirements;
Effective Date: November 24, 2000
Posted on: 10/24/2000
Disciplinary and Other NASD Actions
Posted on: 11/15/2000
 

October 2000

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00-77 Thanksgiving Day: Trade Date -- Settlement Date Schedule
Posted on: 10/10/2000
00-76 Fixed Income Pricing System Additions, Deletions, and Changes as of September 22, 2000
Posted on: 10/10/2000
00-75 Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Posted on: 10/10/2000
00-74 NASD Announces Election Results for District Committees and District Nominating Committees
Posted on: 10/10/2000
00-73 SEC Approves Amendments To NASD Membership Rules;
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
Effective Date: November 15, 2000
Posted on: 10/10/2000
00-72 Broker/Dealer and Agent Renewals for 2001;
Payment Deadline: December 8, 2000
Posted on: 10/10/2000
00-71 NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Posted on: 10/10/2000
00-70 Nasdaq Requests Comment on Extending Manning Limit Order Protection Interpretation to Premarket Hours;
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.
Comment Period Expired October 31, 2000
Posted on: 9/29/2000
Disciplinary and Other NASD Actions
Posted on: 10/16/2000
 

September 2000

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00-69 Columbus Day: Trade Date - Settlement Date Schedule
Posted on: 9/11/2000
00-68 Fixed Income Pricing System Additions, Changes, and Deletions as of August 21, 2000
Posted on: 9/11/2000
00-67 Decimalization Implementation Plan
Posted on: 9/11/2000
00-66 NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information; SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
Posted on: 9/11/2000
00-65 Nasdaq is Establishing the Primex Auction System as a New Facility
Posted on: 9/11/2000
00-64 SEC Approves Rule Changes to Amend Mediation Fee Structure;
Effective Date: November 1, 2000
Posted on: 9/11/2000
00-63 NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
Posted on: 9/11/2000
00-62 SEC Approves Day-Trading Rules;
Effective Date: October 16, 2000
Posted on: 9/11/2000
00-61 NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
Posted on: 9/5/2000
00-60 Nominees for District Committees and District Nominating Committees
Posted on: 9/1/2000
For Your Information
Posted on: 9/11/2000
Disciplinary and Other NASD Actions
Posted on: 9/15/2000
 

August 2000

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00-59 NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council;
Nomination Deadline: September 15, 2000
Posted on: 8/10/2000
00-58 Labor Day: Trade Date -- Settlement Date Schedule
Posted on: 8/10/2000
00-57 Fixed Income Pricing System Additions, Changes, and Deletions as of July 20, 2000
Posted on: 8/10/2000
00-56 SEC Approves Changes to Rule Regarding the Code of Procedure
Posted on: 8/10/2000
00-55 NASD Dispute Resolution Will Require Firms to Certify in Writing That They Have Complied with Arbitration Awards Within 30 Days of Receipt;
Effective Date: September 18, 2000
Posted on: 8/10/2000
00-54 NASD Reminds Members of Methods for Determining Ex-Dividend Dates
Posted on: 8/10/2000
00-53 NASD Adopts Exemption From The Corporate Financing Rule for Interval Funds;
Effective June 20, 2000
Posted on: 8/10/2000
00-52 NASD and Exchanges Submit Decimalization Plan to the SEC
Posted on: 8/7/2000
00-51 SEC Approves Proposed Rule Change Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control and Restricted Securities, and Options Transactions;
Effective Date: August 21, 2000
Posted on: 7/27/2000
00-50 Withdrawal of Proposed Rule and Reminder of Restrictions on Use of Unregistered Persons
Posted on: 7/24/2000
For Your Information
Posted on: 8/10/2000
Disciplinary and Other NASD Actions
Posted on: 8/15/2000
 

July 2000

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00-49 SEC Issues Staff Interpretation on the "Free Trading" Status of Blank Check Company Securities Under Certain Scenarios
Posted on: 7/10/2000
00-48 NASD Adopts Rule Requiring Member Participation in Decimalization Testing; NASD Reminds Selected Members of Survey Deadline: July 28, 2000
Posted on: 7/10/2000
00-47 Fixed Income Pricing System Additions, Changes, and Deletions as of June 23, 2000
Posted on: 7/10/2000
00-46 NASD Announces Interpretation of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
Posted on: 7/10/2000
00-45 NASD Announces Changes to SEC Rule 15c3-3 Extension Request Reason Codes;
Correction - On page 1, the second paragraph under subhead Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, the entry of either Issue Symbol or CUSIP will be required.
Effective Date: July 10, 2000
Posted on: 7/5/2000
00-44 NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
Posted on: 6/16/2000
00-43 SEC Approves Changes to Transaction Reporting Procedures for Weighted Average and Special Pricing Formula Trades;
Effective Date: July 17, 2000
Posted on: 6/15/2000
For Your Information
Posted on: 7/10/2000
Disciplinary and Other NASD Actions
Posted on: 7/17/2000
 

June 2000

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00-42 NASD Regulation, Inc. Reiterates the Obligation of Member Firms to Comply with Trading Rules, Particularly Immediately Prior to the Close on Expiration Fridays and Index Rebalancing Days
Posted on: 6/14/2000
00-41 SEC Approves Trade Halt Rule for OTCBB; Effective Date: June 26, 2000
Posted on: 6/12/2000
00-40 Independence Day: Trade Date - Settlement Date Schedule
Posted on: 6/12/2000
00-39 Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 2000
Posted on: 6/12/2000
00-38 Nasdaq Releases Its Latest Decimalization Testing Schedule
Posted on: 6/12/2000
00-37 NAC Issues Decision on MSRB Rule G-37 Exemptive Relief
Posted on: 6/12/2000
00-36 SEC Approves Rule Change to Permit Publication of All Final Litigated Decisions Issued by the Office Of Hearing Officers, the National Adjudicatory Council, and the NASD Board;
Effective Date: July 10, 2000
Posted on: 6/12/2000
00-35 NASD Regulation Reminds Firms of CRD Continuing Education Notification Method and Informs Firms to Review Written Supervisory Procedures
Posted on: 6/12/2000
00-34 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Posted on: 6/5/2000
Disciplinary and Other NASD Actions
Posted on: 6/15/2000
 

May 2000

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00-33 NASD Regulation Adopts New Rule Interpretation to Require Confirmation Disclosure of Callable Common Stock
Posted on: 5/10/2000
00-32 SEC Suspends Decimalization Deadline and Requests Comment on Extended Deadline
Posted on: 5/10/2000
00-31 Fixed Income Pricing System Additions, Changes, and Deletions as of March 23, 2000
Posted on: 5/10/2000
00-30 SEC Approves New Systems and Rules Governing Delivery, Negotiation, and Execution of Orders for Nasdaq National Market Securities;
Effective Date: July 10, 2000
Posted on: 5/10/2000
00-29 SEC Approves Changes to Nasdaq Locked/Crossed Markets Rule;
Effective Date: June 5, 2000
Posted on: 5/10/2000
00-28 SEC Approves Use of Hard to Borrow List to Comply with the Affirmative Determination Requirement for Short Sales (Rule 3370)
Posted on: 5/10/2000
00-27 Deadline Extended for Series 55 Equity Trader Examination to October 1, 2000
Posted on: 5/1/2000
00-26 NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
Posted on: 4/24/2000
Disciplinary and Other NASD Actions
Posted on: 5/15/2000
 

April 2000

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00-25 Memorial Day: Trade Date - Settlement Date Schedule
Posted on: 4/10/2000
00-24 Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 2000
Posted on: 4/10/2000
00-23 SEC Approves New Rules Relating to Bond Mutual Fund Volatility Ratings
Posted on: 4/10/2000
00-22 SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period;
Effective Date: May 15, 2000
Posted on: 4/10/2000
00-21 NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
Posted on: 4/10/2000
Disciplinary and Other NASD Actions
Posted on: 4/18/2000
 

March 2000

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00-20 Good Friday: Trade Date - Settlement Date Schedule
Posted on: 3/10/2000
00-19 Fixed Income Pricing System Additions, Changes, and Deletions as of January 24, 2000
Posted on: 3/10/2000
00-18 NASD Regulation Issues Statement of Policy Regarding Recordation by Members of NASD Examinations
Posted on: 3/10/2000
00-17 NASD Regulation Requests Comment on Proposed Recordkeeping and Reporting Requirements for Quotations on Certain Automated, Inter-Dealer Quotation Systems;
Comment Period Expired April 10, 2000
Posted on: 3/10/2000
00-16 SEC Approves Changes to NASD Public Disclosure Program (Interpretive Material 8310-2)
Posted on: 3/10/2000
00-15 SEC Approves Rule Change Relating to Filing Requirements for Independently Prepared Research Reports
Posted on: 3/10/2000
00-14 NASD Members Must Update Firm Contact Information Via the NASD Regulation Web Site by April 30, 2000
Posted on: 3/10/2000
For Your Information
Posted on: 3/10/2000
Disciplinary and Other NASD Actions
Posted on: 3/15/2000
 

February 2000

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00-13 NASD Board of Governors Nominees
Posted on: 2/29/2000
00-12 Amendments Adopted to Clarify the Application of NASD Rules to Offerings Under SEC Rule 504 and Intra-State-Only Offerings
Posted on: 2/10/2000
00-11 Fixed Income Pricing System Additions, Changes, and Deletions as of December 23, 1999
Posted on: 2/10/2000
00-10 Nasdaq Reiterates Clearly Erroneous Complaint Procedures
Posted on: 2/10/2000
00-09 NASD Issues Various MSRB Rule G-37 Decisions on Exemptive Relief
Posted on: 2/10/2000
For Your Information
Posted on: 2/10/2000
Disciplinary and Other NASD Actions
Posted on: 2/15/2000
 

January 2000

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00-08 NASD Reminds Members of Their Obligations Regarding Municipal Securities Transaction Reporting
Posted on: 1/10/2000
00-07 Disclosure to Customers Engaging in Extended Hours Trading
Posted on: 1/10/2000
00-06 The Countdown to Decimals
Posted on: 1/10/2000
00-05 Fixed Income Pricing System Additions, Changes, and Deletions as of November 23, 1999
Posted on: 1/10/2000
00-04 Martin Luther King, Jr. Day and Presidents Day: Trade Date -- Settlement Date Schedule
Posted on: 1/10/2000
00-03 Annual Checklist of NASD Notices to Members
Posted on: 1/10/2000
00-02 NASD Alerts Members to Their Obligations Concerning Soliciting Business in Foreign Jurisdictions
Posted on: 1/10/2000
00-01 1999-2000 Renewal Rosters and Final Adjusted Statements
Posted on: 1/10/2000
For Your Information
Posted on: 1/10/2000
Disciplinary and Other NASD Actions
Posted on: 1/18/2000