Notices Subject Index – N

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NAC (see National Adjudicatory Council)

NASD By-Laws

(see By-Laws)

NASD Manual

(see Manual, FINRA)

NASD Rules

(see the FINRA Manual for FINRA rules and related Notices)

NASD Sanction Guidelines

(see Sanction Guideline)

NASDAQ Exchange Registration 06-44; 06-37

NASDAQ National Market Execution System (NNMS)

Implementation Delay; FYI, August 2000
Introduction; 00-30

National Adjudicatory Council (NAC)

Decisions Issued By; 00-83

Election; EN 12/17/2013EN 8/2/13; EN 12/6/12EN 10/17/12EN 8/3/12EN 7/9/12EN 1019/11EN 8/5/11EN 7/30/10; EN 12/18/09; EN 2/5/09; EN 12/8/08; 06-43; 05-54; 04-41; 03-27; 02-62; 01-64; 01-57; 00-71; 98-72

Nomination Procedures; EN 8/5/11; 06-29; 05-4304-31; 03-18; 02-46; 00-59; 99-64; 98-62 

Publication of NAC Membership Decisions; 05-80

Waiver Subcommittee; 04-59

National Examination Program (NEP) Surveillance (formerly INSITE)

04-24

Reporting; FYI, June 2002; 01-84

National Market System Stocks

(see NMS Stocks)

National Securities Clearing Corporation (NSCC) 07-50
Negative Response Letters

04-7202-57

Negotiable Instruments

Books and Records; 11-19

Net Capital

13-44; 12-58

Compliance; 04-33; 03-67; 03-47
Credit Default Swaps; 09-30

Low-Priced Equity Securities; 11-15

Penalty Clauses; FYI, July 2002

Subordination Agreements; 04-75

U.S. Treasury Securities; 11-38

Net Capital Requirements

08-66; 08-65; 08-60; 08-56; 08-46; 09-38    

Net Capital Rule (SEC Rule 15c3-1)

(see Securities and Exchange Commission Rules)

Net Trading 06-47

Networking Agreements

10-21

New Issues

11-2910-60; 07-34; 05-65

New Member Applications

(see Member Firms)

New Products 05-26; 05-25

New York Stock Exchange (NYSE)

Circuit Breaker Rules; 98-26

Electronic Filing Platform; 08-76; 08-40
Examination Fees; 99-75

Firm Profiler; 08-76

Uniform Branch Office Registration Form (Form BR); 05-66

New York Stock Exchange (NYSE) Rules

Rule 2; 08-64; 07-52

Rule 129; 08-07

Rule 134; 08-64

Rule 140; 08-64

Rule 282; 08-64

Rule 283; 08-64

Rule 285; 08-64

Rule 286; 08-64

Rule 287; 08-64

Rule 288; 08-64

Rule 289; 08-64

Rule 290; 08-64

Rule 304; 08-64

Rule 311 and Interpretation; 08-64

Rule 312; 08-64; 08-23

Rule 313; 08-64; 08-23

Rule 321; 08-64

Rule 342; 08-64; 08-55; 08-24; 08-18; 08-16; 08-15; 08-02; 07-62; 07-59

Rule 343; 07-49; 07-49

Rule 344; 08-67; 08-55; 08-16; 08-15

      Interpretation 344/02; 08-15

Rule 345; 08-67; 08-64; 08-02; 07-55

      Interpretation/03; 07-49

      Interpretation Handbook Rule 345.11/01; 07-55

Rule 346; 08-64; 07-55

Rule 351; 08-7008-64; 08-47; 08-40; 08-24; 08-18; 08-17

Rule 352; 08-64

Rule 353; 08-64

Rule 354; 08-64; 08-24

Rule 382; 08-76

Rule 392; 08-74

Rule 401; 08-6408-24; 07-49

Rule 402; 08-21

Rule 404; 08-64

Rule 405; 08-64

Rule 407; 08-76; 08-64

Rule 408; 08-64

Rule 409; 08-64; 07-65

Rule 410; 08-64; 07-59

Rule 412; 08-64; 07-50

Rule 414; 08-64

Rule 416; 08-7608-23

Rule 418; 08-23

Rule 420; 08-23

Rule 421; 08-23; 08-13

Rule 424; 08-64

Rule 431; 08-65; 08-64; 08-60; 08-41; 08-09; 08-08

Rule 435; 08-64

Rule 436; 08-64

Rule 440; 08-64 07-59; 07-49

     Interpretation Handbook Rule 440.20/01; 08-25

Rule 446; 08-64

Rule 472; 08-55; 07-43

Rule 476A; 07-51

Rule 477; 08-64 

Rule 704; 08-64

Rule 705; 08-64

Rule 723; 08-64

Rue 724; 08-64

Rule 791; 08-64

NMS Stocks

13-19; 13-12; 12-2412-1912-0711-4011-29; TRN 6/3/1111-24TRN 8/19/10; 10-24; TRN 2/8/10; 10-07; 09-21; 09-08; 08-74;

NNMS

(see NASDAQ National Market Execution System)

"No-Knowledge" Interpretations

09-15

Non-NMS Stocks

Transaction Reporting; 10-29;

Non-Cash Compensation

09-34; 05-4004-07; 03-53; 99-55; 98-75

Non-Conventional Investments

08-81; 05-26; 05-1803-71

Non-Exchange-Listed Securities

Company-Related Actions; 11-0910-38

Non-Margin Eligible Equity Securities

12-44; 11-3011-16

Non-Purpose Loans

11-16

Non-Reporting Threshold Securities 07-45

Non-Tape Reports

TRN 2/8/10

Notice of Address Discrepancy

08-69

Notices

Annual Checklist; 00-03; 99-18; 98-24; 97-05
Corrections to; FYI, December 2000
Distribution; 98-77; 97-92
Online Comments; 03-73

NYSE Rules

(see New York Stock Exchange Rules)