January | February | March | April | May | June | July | August | September | October | November | December

December 2002

View Full Month's Notices

02-85 NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules Posted on: 12/23/2002

02-84 2003 Trade Date Settlement Date Schedule Posted on: 12/9/2002

02-83 NASD to Deduct Unpaid Mediation Filing Fees from CRD Accounts Posted on: 12/9/2002

02-82 Frequently Asked Questions Relating to Trading Halts Posted on: 12/9/2002

02-81 NASD Reduces Certain TRACE Fees for the 4th Quarter of 2002. The fee changes are effective as of October 1, 2002. Posted on: 12/9/2002

02-80 Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act Posted on: 12/2/2002

For Your Information Posted on: 12/9/2002

Disciplinary and Other NASD Actions Posted on: 12/16/2002

November 2002

View Full Month's Notices

02-79 Notice of Meeting and Proxy A proxy package was sent to each NASD Executive Representative on November 4. Posted on: 11/1/2002

02-78 NASD Adopts Amendments to Rule 3011 to Require Members to Provide to NASD Contact Information for an Anti-Money Laundering Compliance Person(s) Posted on: 11/1/2002

02-77 SEC Approves Rule Establishing New Registration Category for Proctors of In-Firm Delivery of the Regulatory Element Posted on: 11/1/2002

02-76 Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules) Posted on: 11/1/2002

02-75 NASD Provides Additional Information on the Trading Activity Fee Posted on: 10/30/2002

02-74 NASD Requests Comment on its Public Information Review Initiative; Comment Period Expired on January 6, 2003 Posted on: 10/29/2002

02-73 SEC Approves New Rules and Rule Amendments Concerning Security Futures; Effective Date: October 15, 2002 Posted on: 10/24/2002

For Your Information Posted on: 11/1/2002

Disciplinary and Other NASD Actions Posted on: 11/15/2002

October 2002

View Full Month's Notices

02-72 Trade Date--Settlement Date Schedule: Veterans' Day and Thanksgiving Day Posted on: 10/18/2002

02-71 NASDAQ Provides Guidance on Recent Amendments to "Trade-or-Move" Rule and SuperMontage Opening Process Posted on: 10/17/2002

02-70 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Posted on: 10/17/2002

02-69 Clarification of Member Obligations Regarding Brokered Certificates of Deposit Effective Date: October 8, 2002 Posted on: 10/17/2002

02-68 SEC Approves Rule Change to IM-10100 Posted on: 10/1/2002

02-67 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2003 Payment Deadline: December 6, 2002 Posted on: 9/30/2002

02-66 SEC Approves NASD Rule 2315; Recommendations to Customers in OTC Equity Securities 649 Posted on: 9/30/2002

For Your Information Posted on: 10/18/2002

Disciplinary and Other NASD Actions Posted on: 10/15/2002

September 2002

View Full Month's Notices

02-65 Nominees for District Committee and District Nominating Committee Posted on: 9/27/2002

02-64 NASD Advises Members that Participation in Tying Arrangements that Violate Federal Statutes Also Violate Just and Equitable Principles of Trade; Requests Information Concerning Such Practices; Comment Period Expired October 21, 2002 Posted on: 9/19/2002

02-63 NASD Provides Additional Information on Amendments to Section 8 of Schedule A to NASD's By-Laws to Eliminate the Regulatory Fee and to Implement a New Transaction-Based Trading Activity Fee as Announced in Notice to Members 02-41; Implementation Date: October 1, 2002 Posted on: 9/18/2002

02-62 NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council Posted on: 9/18/2002

02-61 SEC Approves Proposed Changes to the Taping Rule and NASD Interpretive Material 8310-2; Effective Date: October 14, 2002 Posted on: 9/13/2002

02-60 Columbus Day: Trade Date--Settlement Date Schedule Posted on: 9/11/2002

02-59 SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers; Effective October 14, 2002 Posted on: 9/11/2002

02-58 SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims; Effective October 14, 2002 Posted on: 9/11/2002

02-57 Use of Negative Response Letters for the Bulk Transfer of Customer Accounts Posted on: 9/11/2002

02-56 Nominees for NASD Board of Governors Posted on: 9/4/2002

Disciplinary and Other NASD Actions Posted on: 9/16/2002

August 2002

View Full Month's Notices

02-55 NASD Requests Comment on Proposed New Rule 2712 (IPO Allocations and Distributions) and on an Amendment to Rule 2710 (Corporate Financing Rule); Comment Period Expired September 23, 2002 Posted on: 8/21/2002

02-54 NASD Requests Comment on Proposed Amendments to Rules 1014 and 1017; Comment Period Expired September 20, 2002 Posted on: 8/21/2002

02-53 NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD; Revises Letters Sent When Determination Made to Close an Investigation Without Further Action Posted on: 8/21/2002

02-52 NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition"); Comment Period Expired October 21, 2002 Posted on: 8/21/2002

02-51 NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools. Comment Period Expired October 1, 2002 Posted on: 8/15/2002

02-50 Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements; Comment Period Expired September 6, 2002 Posted on: 8/13/2002

02-49 NASD Adopts Amendments to IM-8310-2 Concerning Release of Disciplinary Information to the Public; Implementation Date: September 1, 2002 Posted on: 8/12/2002

02-48 NASD Amends Section 4 of Schedule A to the NASD By-Laws to Establish a Late Fee for Failure to Pay Annual Renewal Fees on a Timely Basis; Implementation Date: September 1, 2002 Posted on: 8/12/2002

02-47 Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers; Effective Date: Transactions After December 30, 2002 Posted on: 8/12/2002

02-46 NASD Announces Nomination Procedures for Regional Industry Member Vacancy on the National Adjudicatory Council; Nomination Deadline: September 5, 2002 Posted on: 8/5/2002

02-45 Alternative Display Facility (ADF) Nine-Month Pilot Approved for Trading in Nasdaq Securities Posted on: 7/29/2002

02-44 NASD Requests Comment on Application of Rule 2711 to Small Firms; Comment Period Expired on August 30, 2002 Posted on: 7/26/2002

For Your Information Posted on: 8/15/2002

Disciplinary and Other NASD Actions Posted on: 8/15/2002

July 2002

View Full Month's Notices

02-43 Labor Day: Trade Date--Settlement Date Schedule Posted on: 7/16/2002

02-42 Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 2002 Posted on: 7/16/2002

02-41 NASD Informs Members of Proposed Changes to NASD's Gross Income Assessment, Personnel Assessment, and Regulatory Fee Posted on: 7/22/2002

02-40 NASD Requests Comment on Proposed Amendments to NASD Rule 2320 (Best Execution Rule); Comment Period Expired August 9, 2002 Posted on: 7/10/2002

02-39 SEC Approves Rule Governing Research Analysts Conflicts of Interest Posted on: 6/26/2002

02-38 Independence Day: Trade Date -- Settlement Date Schedule Posted on: 6/21/2002

For Your Information Posted on: 7/16/2002

Disciplinary and Other NASD Actions Posted on: 7/16/2002

June 2002

View Full Month's Notices

02-37 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections Posted on: 6/17/2002

02-36 Fixed Income Pricing System Additions, Changes, and Deletions as of April 23, 2002 Posted on: 6/11/2002

02-35 NASD Adopts Amendments Regarding the Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites Effective Date: July 1, 2002 Posted on: 6/11/2002

02-34 SEC Approves Proposed Changes to Rule 3070 Concerning the Reporting of Criminal Offenses by Members and Persons Associated with Members; Effective Date: July 15, 2002 Posted on: 6/11/2002

02-33 SEC Approves Amendments to NASD Rule 2260 Requiring Broker/Dealers to Forward Information Regarding Debt Securities to Beneficial Owners Posted on: 6/11/2002

02-32 SEC Approves NASD Rule Requiring Members to Require Investors to Sign a Disclosure Document as Part of a Subordinated Loan Agreement; Effective Date: July 15, 2002 Posted on: 6/11/2002

02-31 NASD Seeks Comment on Proposed Changes to the OATS Rules; Comment Period Expired July 10, 2002 Posted on: 6/11/2002

For Your Information Posted on: 6/11/2002

Disciplinary and Other NASD Actions Posted on: 6/17/2002

May 2002

View Full Month's Notices

02-30 Fixed Income Pricing System Additions, Changes, and Deletions as of March 22, 2002 Posted on: 5/8/2002

02-29 NASD Provides Guidance on Order Audit Trail System Rules Posted on: 5/8/2002

02-28 Member Obligations Regarding Long-Term or Brokered Certificates of Deposit Note: This Notice is superseded by Notice to Members 02-69. Posted on: 5/8/2002

02-27 Series 22, 27, 28, 39, 55 and 82 Modified Posted on: 5/8/2002

02-26 SEC Approves Rule Change Requiring Members to File Information with the Corporate Financing Department Through Its Electronic Filing System Posted on: 5/8/2002

For Your Information Posted on: 5/8/2002

Disciplinary and Other NASD Actions Posted on: 5/15/2002

April 2002

View Full Month's Notices

02-25 Memorial Day: Trade Date--Settlement Date Schedule Posted on: 4/12/2002

02-24 Fixed Income Pricing System Additions, Changes, and Deletions as of February 21, 2002 Posted on: 4/12/2002

02-23 The NASD Seeks Comment on Proposed Rules Relating to Member Firm Business Continuity Plans and Emergency Contact Information Posted on: 4/10/2002

02-22 Securities Industry/Regulatory Council on Continuing Education Issues a Status Report on the Securities Industry Continuing Education Program Posted on: 4/12/2002

02-21 NASD Provides Guidance to Member Firms Concerning Anti-Money Laundering Compliance Programs Required by Federal Law Posted on: 4/10/2002

Disciplinary and Other NASD Actions Posted on: 10/15/2003

March 2002

View Full Month's Notices

02-20 SEC Approves Technical Changes to Forms U-4 and U-5 and Amendment to NASD Interpretive Material 8310-2; Effective Date: March 18, 2002 Posted on: 3/15/2002

02-19 SEC Review of Auditor Independence Rules Posted on: 3/11/2002

02-18 Fixed Income Pricing System Additions, Changes, and Deletions as of January 22, 2002 Posted on: 3/11/2002

02-17 Alerting Customers to Adjustments to Option Contracts Posted on: 3/11/2002

02-16 NASD Dispute Resolution to Consolidate Western Region March 4, 2002 Posted on: 2/19/2002

For Your Information Posted on: 3/11/2002

Disciplinary and Other NASD Actions Posted on: 3/15/2002

February 2002

View Full Month's Notices

02-15 Trade Date--Settlement Date for Good Friday 2002 Posted on: 2/11/2002

02-14 Fixed Income Pricing System Additions, Changes, and Deletions as of December 21, 2001 Posted on: 2/11/2002

02-13 SEC Approves Permanent Injunctive Relief Rule Posted on: 2/11/2002

02-12 NASD Adopts Amendments to Relieve Registered Representatives Serving in the Armed Forces From Continuing Education Requirements Posted on: 1/29/2002

02-11 NASD Dispute Resolution Establishes a New Hearing Location in Orlando, Florida, for Arbitration and Mediation Claims Filed in Its Forum Posted on: 1/29/2002

For Your Information Posted on: 2/11/2002

Disciplinary and Other NASD Actions Posted on: 2/15/2002

January 2002

View Full Month's Notices

02-10 The NASD Requests Information on Steps that Can be Taken to Streamline NASD Rules; Response Period Expired March 15, 2002 Posted on: 1/29/2002

02-09 NASD Seeks Member Comment on Proposed Changes to NASD's Regulatory Fee: Comment Period Expired February 28, 2002 Posted on: 1/15/2002

02-08 Fixed Income Pricing SystemSM Additions, Changes, and Deletions as of November 28, 2001 Posted on: 1/10/2002

02-07 NASD Adopts Interpretive Material Prohibiting Interference with the Transfer of Customer Accounts in the Context of Employment Disputes Posted on: 1/10/2002

02-06 Trade Date--Settlement Date Schedule For Martin Luther King Day And Presidents' Day Posted on: 1/10/2002

02-05 Changes to FOCUS Resulting from Certain Disclosure and Asset Recognition Requirements Under FASB 140 Posted on: 1/10/2002

02-04 NASD Asks Members Immediately to Adopt "Best Practice" of Requiring Investors to Sign a Disclosure Document as Part of a Subordination Loan Agreement Posted on: 1/10/2002

02-03 Broker/Dealer, Investment Adviser, and Agent Renewals 2002 Renewal Rosters and Final Renewal Statements Posted on: 1/10/2002

02-02 Effective Date for New Series 6 Program Regulatory Element (S106) for Investment Representatives Posted on: 12/31/2001

02-01 Rule Proposal Regarding Nasdaq Separation and the Alternative Display Facility. SEC Comment Period Expired January 21, 2002 Posted on: 12/28/2001

Disciplinary and Other NASD Actions Posted on: 1/15/2002