Notices Subject Index – T

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TAF

(see Trading Activity Fee)

Taping Rule

05-46

Amendments to; 02-61; 01-38

TARS (see Trade Acceptance and Reconciliation Service)

Telemarketing

Alias, Use of; FYI, May 1998
Foreign Jurisdictions, Soliciting Business in; 11-34; 00-02
Interpretive Material; 97-58
NASD Sanction Guidelines; 05-17

Rule Changes; 05-07; 04-15; 97-01; FYI, December 1996
United Kingdom, Soliciting Business in; 98-91

Temporary Account Transfers 06-31

Temporary Cease and Desist Orders (Rule Series 9800)

13-27; 03-35

Tender Offers

Mini Tender Offers; 99-53

Terrorist Activity

FYI, November 2001; 01-67

Testing

Fees; 11-36

International Delivery; FYI, June 2001

Third-Market Trading

Rule Changes; 98-05

Third-Party

Marketing Material; 08-27

Research Reports; 08-16

Service Providers; 11-14; 05-48

Time and Price Discretion 04-71
To Be Announced (TBA) Transactions

13-24

Tolling

09-36

TRACE (see Trade Reporting and Compliance Engine (TRACE))
Trade Acceptance and Reconciliation Service (TARS)

Automated Confirmation Transaction Service, Merger; 98-40

Trade Comparison and Reporting Service (TRACS) 04-68

Trade Reporting

13-19; 13-1212-19TRN 9/23/11TRN 9/23/1110-29; 09-08; TRN 8/14/08; TRN 3/18/08; TRN 2/19/08; 07-63; 07-46; 07-38; 07-25; 07-23; 06-67

Cancellations; 10-07

Facilities; 13-19; TRN 3/25/1313-1212-0711-40TRN 6/3/11; 10-26; 10-24TRN 9/17/10TRN 8/19/10; TRN 2/8/10; 10-07; TRN 2/24/0909-21; TRN 8/14/08; TRN 2/19/08; 07-63; 07-46; 07-38; 07-31

Order-Routing and Execution Systems; 04-66

Pandemic Regulatory Relief; 06-31

PORTAL Securities; 10-26; 01-19

Price Validation and Price-Override Protocol; TRN 9/17/10
Riskless Principal Transactions; 12-0700-79; 99-66; 99-65
Reporting and Dissemination; 01-18
Supervision; 98-96
Trade Report Modifier; 99-66 

Trading Halts; TRN 8/19/10

Trade Reporting and Compliance Engine (TRACE)

Asset-Backed Securities; TRN 11/7/11TRN 5/10/11; 11-20

Book and Records; 11-20

Dissemination; 13-35; 12-39

Fees; 13-3512-4812-26; 10-23; 10-14; 04-06; 02-81

Fee Waiver; 12-53

Late Transaction Reporting; 12-53

Multi Product Platform; 11-53

Pilot Program Expiration; TRN 11/7/11

Reportable Transactions; 07-61

Rule 144A Transactions; 13-35; 12-39

TRACE Data; 13-0910-14; 08-52; 08-43

TRACE-Eligible Securities; 13-35; 12-3911-5311-20; 10-23; 09-24; 08-75; 08-52; 08-42

TRACE Rules (NASD Rule 6200 Series); 09-21; TRN 7/28/08; TRN 7/1/08; 07-61; 07-21; 07-18; 07-1506-32; 06-22; 06-01; 05-37; 05-2805-05; 05-02; 04-65; 04-51; 04-39; 03-58; 03-45; 03-36; 03-22; 01-18

Transaction Reporting Fees; 11-20
Transaction Reporting, TRACE-Eligible Securities; 12-4812-2611-53TRN 5/10/11; 07-61; 04-65; 03-22; 03-12; 02-76; 01-18

Trade Shredding 06-19

Trading

Annual Trade Date/Settlement Date Schedule; 04-87; 03-78; 02-84; 01-82; 00-88; 99-105; 98-106; 97-93; 96-90
Best Execution; 00-78

Centers; 13-12
Compliance, NASDAQ Rules; 00-42; 97-49

Debt Trading; 12-42; 12-0911-11
Extended Hours; 00-07
Halts; 13-1311-37; 10-4310-30; TRN 9/17/1009-37TRN 8/19/1007-22; 07-0902-82; 01-47; 00-41; 99-69; 99-05; 98-26

Interest; 06-50
Just and Equitable Principles of Fair Trade; 02-64
NASDAQ National Market Execution System (NNMS); FYI, August 2000; 00-30

Pause; 13-1211-37
Primex Auction System; 00-65

Secondary Market; 08-54

Volume; 06-50

Trading Activity Fee

12-41; 12-0611-2008-37; 06-44; 06-3705-61; 05-2305-0304-8404-01; 03-43; 02-63; 02-41

Sales of Covered Equity Securities; 11-27

Trading Halts

TRN 9/17/10

Trail Fees 04-5004-07

Training

Complex Products; 12-03

Deferred Variable Annuities; 07-53; 04-45

Exchange-Traded Funds; 09-31

Hedge Funds; 03-07

Individual Retirement Accounts; 13-45

Principal-Protected Notes; 09-73

Registered Persons; 08-64

Transactions

Erroneous Transactions; 03-11; 00-10; 99-29; 98-21
Foreign Securities Transactions; 00-84
Municipal Securities; 04-95

Mutual Funds Transactions; 02-85

Reporting Exemption; 07-61
Riskless Principal Transactions; 00-79; 99-66; 99-65
SEC Fees; 04-63; 97-62; 96-81
Special Pricing Formula; 00-43
Selling Away and Outside Business Activities; 01-79
Transaction Accounts; 08-69

Transactions Reporting, Corporate Debt Securities; 07-21; 07-18; 06-22; 06-01; 05-77; 05-28; 05-21

Transaction Reporting, Electronic Communication Networks (ECNs); 03-69
Transaction Reporting, Foreign Securities; 08-51

Transaction Reporting, Municipal Securities; 03-13; 00-08
Transaction Reporting, TRACE-Eligible Securities; 13-1512-56TRN 11/7/1111-20; TRN 5/10/11; 09-24; 08-52; 08-42; 07-21; 07-18; 06-32; 06-22; 06-01; 05-52; 05-37; 05-28; 05-05; 05-02; 04-65; 04-39; 03-58; 03-45; 03-22; 03-12; 02-76; 01-18
With NASD and Amex Employees; FYI, November 2002

Treasury Inflation-Protected Securities

11-49

Treasury, U.S. Department of

Auction Bidders; FYI, March 1998
Email Lists; FYI, December 1998
Information Requests; 02-80
"Limited Edition" Treasury Securities; 97-24
Office of Foreign Assets Control; FYI, November 2001; 01-67; 98-50; 98-20; 98-08; 97-87; 97-35; 97-04
Suspicious Activity Reporting Rule; 02-47
Web Site Link; FYI, August 1997

Tying Arrangements

02-64