2005 Notices to Members

 
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December 2005

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05-85 SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure;
Effective January 30, 2006
Posted on: 12/30/2005
05-84 NASD Announces Election Results for the District Committee for District 7
Posted on: 12/28/2005
05-83 NASD Notice of Meeting and Proxy
Posted on: 12/30/2005
05-82 SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims;
Effective Date: January 17, 2006
Posted on: 12/21/2005
05-81 2006 Trade Date-Settlement Date Schedule
This Notice has been updated to reflect the removal of Veterans' Day from the Trade Date - Settlement Date schedule, and to correct the Thanksgiving Reg. T date for the November 24 trade date.
Posted on: 12/20/2005
05-80 SEC Approves Amendments to IM-8310-2 Regarding the Publication of Decisions Issued by the National Adjudicatory Council (NAC) Pursuant to NASD Rule 1015;
Effective Date: January 12, 2006
Posted on: 12/13/2005
For Your Information
Posted on: 12/31/2005
Disciplinary and Other NASD Actions
Posted on: 12/15/2005
 

November 2005

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05-79 Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees;
This version corrects the Series 22 (Direct Participation Programs Representative) Fee.
Implementation Date: January 1, 2006
Posted on: 11/16/2005
05-78 SEC Approves Amendments to the OATS Rules;
Effective Date: May 8, 2006
Posted on: 11/11/2005
05-77 Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE
NTM 05-77 has been superseded by Notice 07-61
Posted on: 11/9/2005
05-76 Nominees for NASD Board of Governors
Posted on: 11/9/2005
05-75 Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
Posted on: 11/3/2005
05-74 NASD Announces Election Results for District Committees and District Nominating Committees
Posted on: 11/9/2005
05-73 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006;
Payment Deadline: December 14, 2005
Posted on: 11/1/2005
Disciplinary and Other NASD Actions
Posted on: 11/15/2005
 

October 2005

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05-72 SEC Approves Amendments to NASD Rule 3150, Regarding Reporting Requirements for Clearing Firms, and NASD Rule 3230, Regarding Requirements for Clearing Agreements;
Effective Date: February 20, 2006
Posted on: 10/21/2005
05-71 SEC Approves NASD Interpretive Material to Rule 9216 regarding NASD's MRVP;
Effective Date: November 14, 2005
Posted on: 10/17/2005
05-70 Revisions to the Series 4, 6 and 9/10 Examination Programs;
Implementation Date: November 30, 2005
Posted on: 10/14/2005
05-69 SEC Approves New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances;
Effective Date: January 9, 2006
Posted on: 10/10/2005
05-68 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Posted on: 10/7/2005
05-67 SEC Approves Uniform Branch Office Definition and Related Interpretive Material;
Effective Date: May 1, 2006
Posted on: 10/6/2005
05-66 SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5;
Effective Date: October 31, 2005
Posted on: 10/6/2005
05-65 SEC Approves Amendments Relating to Rule 2790;
Effective Date: November 2, 2005
Posted on: 10/3/2005
05-64 SEC Approves Amendments to IM-2110-2 to Require Members to Provide Price Improvement to Customer Limit Orders in Certain Circumstances and to Expand IM-2110-2 to Exchange-Listed Securities;
Effective Date: January 2, 2006
Posted on: 10/3/2005
Disciplinary and Other NASD Actions
Posted on: 10/17/2005
 

September 2005

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05-63 NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting;
Comment Period Expired November 29, 2005
Posted on: 9/30/2005
05-62 Nominees for District Committee and District Nominating Committee
Posted on: 9/27/2005
05-61 NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee;
Comment Period Expired October 31, 2005
Posted on: 9/16/2005
05-60 Important Information Regarding the Suspension of Trading in the Securities of Bancorp International Group, Inc. (BCIT.PK)
Posted on: 9/14/2005
05-59 NASD Provides Guidance Concerning the Sale of Structured Products
Posted on: 9/12/2005
05-58 Intermarket Surveillance Group Requires Validation of Electronic Blue Sheet Submissions
Posted on: 9/7/2005
05-57 Guidance to Members Affected by Hurricane Katrina
Posted on: 9/2/2005
Disciplinary and Other NASD Actions
Posted on: 9/15/2005
 

August 2005

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05-56 Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Posted on: 8/29/2005
05-55 SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions;
Effective Date: September 26, 2005
Posted on: 8/26/2005
05-54 NASD Announces Nominee for Regional Industry Member Vacancy on the National Adjudicatory Council
Posted on: 8/25/2005
05-53 Due to a change in our publishing schedule, there is no Notice numbered 05-53.
05-52 SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser;
Effective Date: October 1, 2005
Posted on: 8/17/2005
05-51 Member Obligations with Respect to Volume-Weighted Average Price Transactions
Posted on: 8/11/2005
05-50 Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities
Posted on: 8/8/2005
Disciplinary and Other NASD Actions
Posted on: 8/15/2005
 

July 2005

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05-49 NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
Posted on: 7/28/2005
05-48 Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
Posted on: 7/22/2005
05-47 Unexpected Close of Securities Markets
Posted on: 7/6/2005
05-46 SEC Approves Amendments Relating to Taping Rule "Opt Out" and Exemption Provisions;
Effective Date: August 1, 2005
Posted on: 7/1/2005
Disciplinary and Other NASD Actions
Posted on: 7/15/2005
 

June 2005

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05-45 Agency Securities Lending Disclosure Initiative
Posted on: 6/30/2005
05-44 SEC Approves Amendments Relating to Annual Compliance Meetings;
Effective Date: July 25, 2005
Posted on: 6/24/2005
05-43 NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council;
Nomination Deadline: August 1, 2005
Posted on: 6/30/2005
05-42 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Posted on: 6/20/2005
05-41 Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.
Posted on: 6/10/2005
05-40 NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities;
Comment Period Expired August 5, 2005
Posted on: 5/9/2005
Disciplinary and Other NASD Actions
Posted on: 6/15/2005
 

May 2005

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05-39 NASD Suggests Best Practices for Fingerprinting Procedures
Posted on: 5/26/2005
05-38 NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts; Immediate Action May Be Required to Ensure Compliance
Posted on: 5/20/2005
05-37 NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data;
Effective Date: June 1, 2005
Posted on: 5/17/2005
05-36 SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators;
Effective Date: May 6, 2005
Posted on: 5/6/2005
05-35 SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations;
Effective June 6, 2005
Posted on: 5/5/2005
05-34 SEC Approves Amendments to Rule 2711 to Prohibit Research Analysts from Participating in a Road Show and from Communicating with Customers in the Presence of Investment Banking Personnel or Company Management about an Investment Banking Services Transaction;
Compliance Date: June 6, 2005
Posted on: 5/3/2005
Disciplinary and Other NASD Actions
Posted on: 5/16/2005
 

April 2005

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05-33 Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO
Posted on: 4/28/2005
05-32 SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
Posted on: 4/27/2005
05-31 Pilot Program to Increase Position and Exercise Limits for Equity Options and New Reverse Collar Strategy Added to Equity Option Hedge Exemptions
Posted on: 4/27/2005
05-30 SEC Approves New Alternative Display Facility (ADF) Pilot Rule Giving NASD Authority to Receive and Review Complaints Alleging Denial of Access to an ADF Market Participant Quote;
Compliance Date: May 26, 2005
Posted on: 4/26/2005
05-29 Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
Posted on: 4/14/2005
05-28 NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports
Posted on: 4/14/2005
05-27 NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period;
Comment Period Expired May 27, 2005
Posted on: 4/13/2005
05-26 NASD Recommends Best Practices for Reviewing New Products
Posted on: 4/6/2005
05-25 NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements;
Comment Period Expired May 20, 2005
Posted on: 4/6/2005
05-24 NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports
Posted on: 4/4/2005
Disciplinary and Other NASD Actions
Posted on: 4/15/2005
 

March 2005

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05-23 NASD Issues Further Guidance on the Trading Activity Fee
Posted on: 3/31/2005
05-22 New Electronic Reporting Requirements for Large Options Positions Reports for Filing of Reportable Conventional Options Positions
Effective Date Extended to July 11, 2005.
Posted on: 3/18/2005
05-21 NASD Requests Comment on Proposed Rule Requiring Members to Provide Additional Disclosures for Transactions in Debt Securities;
Comment Period Expired April 19
Posted on: 3/18/2005
05-20 NASD Announces Effective Date of April 4, 2005 for Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements;
Effective Date: April 4, 2005
Posted on: 3/11/2005
05-19 Revisions to the Series 11 and 55 Examination Programs;
Implementation Date: April 29, 2005
Posted on: 3/11/2005
05-18 NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Posted on: 3/2/2005
05-17 NASD Adopts New Sanction Guidelines;
Effective Date: March 15, 2005
Posted on: 3/1/2005
Disciplinary and Other NASD Actions
Posted on: 3/15/2005
 

February 2005

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05-16 NASD Announces Election Results for the District Committee for District 10
Posted on: 2/22/2005
05-15 NASD Announces Election Results for the District Committee for District 1
Posted on: 2/22/2005
05-14 NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
Posted on: 2/17/2005
05-13 NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
Posted on: 2/11/2005
05-12 SEC Approves Amendments to Rule 9522 Regarding Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities;
Effective Date: March 7, 2005
Posted on: 2/7/2005
05-11 NASD Issues Further Guidance Regarding Members' Obligations under Section 3 of Schedule A to the NASD By-Laws; NASD Also Seeks Member Comment on Related Automation Issues;
Comment Period Expired March 30, 2005
Posted on: 2/4/2005
Disciplinary and Other NASD Actions
Posted on: 2/15/2005
 

January 2005

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05-10 NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims;
Effective Date: May 1, 2005
Posted on: 1/31/2005
05-09 NASD Amends Rule Governing Predispute Arbitration Agreements with Customers;
The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf
Effective Date: May 1, 2005
Posted on: 1/31/2005
05-08 Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities
Posted on: 1/28/2005
05-07 SEC Approves Amendments to Rule 2212 Concerning Frequency of Updates From the National Do-Not-Call Registry;
Effective Date: March 1, 2005
Posted on: 1/28/2005
05-06 Exemption for Delta Neutral Positions of OTC Derivatives Dealers;
Effective Date: February 28, 2005
Posted on: 1/27/2005
05-05 NASD Eliminates the TRACE Bond Transaction Data Service (BTDS) Non-Professional Real-Time Data Display Fee and the BTDS Professional Delayed-Time Data Display Fee Pilot Program
Posted on: 1/25/2005
05-04 SEC Approves Amendments to NASD Rule 2830(k) to Strengthen Prohibitions on Investment Company Directed Brokerage Arrangements;
Effective Date: February 14, 2005
Posted on: 1/14/2005
05-03 NASD Provides Updated Options Exemption Listing for the Trading Activity Fee
Posted on: 1/7/2005
05-02 Stage Two of the Expansion of Dissemination of TRACE Transaction Data to Begin on February 7, 2005 Instead of February 1, 2005
Posted on: 1/4/2005
05-01 Final Renewal Statements and Reports
Posted on: 1/3/2005
Disciplinary and Other NASD Actions
Posted on: 1/18/2005