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January
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February
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March
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April
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May
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June
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July
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August
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September
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October
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November
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December
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| December 2000 |
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00-90
Mail Vote - NASD Solicits Vote on Amendments to the NASD By-Laws on Selected Corporate Governance Issues;
Last Voting Date: January 22, 2001
(Notice Posted on: 12/21/00)
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
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00-89
NASD 2001 Holiday Schedule
(Notice Posted on: 12/11/00)
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00-88
Trade Date - Settlement Date Schedule for 2001
(Notice Posted on: 12/11/00)
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00-87
Fixed Income Pricing System Additions, Changes, and Deletions as of November 22, 2000
(Notice Posted on: 12/11/00)
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00-86
Review of Decimalization Testing
(Notice Posted on: 12/11/00)
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00-85
NASD to Deduct Delinquent Corporate Financing Filing Fees from CRD Account
(Notice Posted on: 12/11/00)
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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
(Notice Posted on: 12/11/00)
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00-83
NASD Regulation to Make Statutory Disqualification Decisions Publicly Available in Redacted Format
(Notice Posted on: 12/11/00)
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Disciplinary and Other NASD Actions
(posted on 12/15/00)
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For Your Information
(posted on 12/11/00)
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| November 2000 |
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00-82
Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
(Notice Posted on: 11/10/00)
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00-81
Fixed Income Pricing System Additions, Deletions, and Changes as of October 23, 2000
(Notice Posted on: 11/10/00)
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00-80
Nasdaq Decimalization Testing & Decimalization Implementation Phase-In Plan
(Notice Posted on: 11/10/00)
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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
(Notice Posted on: 11/10/00)
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00-78
SEC Approves Proposed Changes to the NASD Three Quote Rule and Related Recordkeeping Requirements;
Effective Date: November 24, 2000
(Notice Posted on: 10/24/00)
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Disciplinary and Other NASD Actions
(posted on 11/15/00)
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| October 2000 |
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00-77
Thanksgiving Day: Trade Date -- Settlement Date Schedule
(Notice Posted on: 10/10/00)
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00-76
Fixed Income Pricing System Additions, Deletions, and Changes as of September 22, 2000
(Notice Posted on: 10/10/00)
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00-75
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
(Notice Posted on: 10/10/00)
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00-74
NASD Announces Election Results for District Committees and District Nominating Committees
(Notice Posted on: 10/10/00)
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00-73
SEC Approves Amendments To NASD Membership Rules;
Effective Date: November 15, 2000
(Notice Posted on: 10/10/00)
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.
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00-72
Broker/Dealer and Agent Renewals for 2001;
Payment Deadline: December 8, 2000
(Notice Posted on: 10/10/00)
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00-71
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
(Notice Posted on: 10/10/00)
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00-70
Nasdaq Requests Comment on Extending Manning Limit Order Protection Interpretation to Premarket Hours;
Comment Period Expired October 31, 2000
(Notice Posted on: 9/29/00)
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.
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Disciplinary and Other NASD Actions
(posted on 10/16/00)
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| September 2000 |
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00-69
Columbus Day: Trade Date - Settlement Date Schedule
(Notice Posted on: 9/11/00)
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00-68
Fixed Income Pricing System Additions, Changes, and Deletions as of August 21, 2000
(Notice Posted on: 9/11/00)
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00-67
Decimalization Implementation Plan
(Notice Posted on: 9/11/00)
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00-66
NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information; SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
(Notice Posted on: 9/11/00)
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00-65
Nasdaq is Establishing the Primex Auction System as a New Facility
(Notice Posted on: 9/11/00)
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00-64
SEC Approves Rule Changes to Amend Mediation Fee Structure;
Effective Date: November 1, 2000
(Notice Posted on: 9/11/00)
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00-63
NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
(Notice Posted on: 9/11/00)
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00-62
SEC Approves Day-Trading Rules;
Effective Date: October 16, 2000
(Notice Posted on: 9/11/00)
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00-61
NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
(Notice Posted on: 9/5/00)
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00-60
Nominees for District Committees and District Nominating Committees
(Notice Posted on: 9/1/00)
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Disciplinary and Other NASD Actions
(posted on 9/15/00)
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For Your Information
(posted on 9/11/00)
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| 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
(Notice Posted on: 8/10/00)
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00-58
Labor Day: Trade Date -- Settlement Date Schedule
(Notice Posted on: 8/10/00)
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00-57
Fixed Income Pricing System Additions, Changes, and Deletions as of July 20, 2000
(Notice Posted on: 8/10/00)
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00-56
SEC Approves Changes to Rule Regarding the Code of Procedure
(Notice Posted on: 8/10/00)
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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
(Notice Posted on: 8/10/00)
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00-54
NASD Reminds Members of Methods for Determining Ex-Dividend Dates
(Notice Posted on: 8/10/00)
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00-53
NASD Adopts Exemption From The Corporate Financing Rule for Interval Funds;
Effective June 20, 2000
(Notice Posted on: 8/10/00)
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00-52
NASD and Exchanges Submit Decimalization Plan to the SEC
(Notice Posted on: 8/7/00)
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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
(Notice Posted on: 7/27/00)
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00-50
Withdrawal of Proposed Rule and Reminder of Restrictions on Use of Unregistered Persons
(Notice Posted on: 7/24/00)
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Disciplinary and Other NASD Actions
(posted on 8/15/00)
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For Your Information
(posted on 8/10/00)
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| 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
(Notice Posted on: 7/10/00)
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00-48
NASD Adopts Rule Requiring Member Participation in Decimalization Testing; NASD Reminds Selected Members of Survey Deadline: July 28, 2000
(Notice Posted on: 7/10/00)
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00-47
Fixed Income Pricing System Additions, Changes, and Deletions as of June 23, 2000
(Notice Posted on: 7/10/00)
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00-46
NASD Announces Interpretation of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
(Notice Posted on: 7/10/00)
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00-45
NASD Announces Changes to SEC Rule 15c3-3 Extension Request Reason Codes;
Effective Date: July 10, 2000
(Notice Posted on: 7/5/00)
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.
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00-44
NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
(Notice Posted on: 6/16/00)
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00-43
SEC Approves Changes to Transaction Reporting Procedures for Weighted Average and Special Pricing Formula Trades;
Effective Date: July 17, 2000
(Notice Posted on: 6/15/00)
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Disciplinary and Other NASD Actions
(posted on 7/17/00)
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For Your Information
(posted on 7/10/00)
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| 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
(Notice Posted on: 6/14/00)
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00-41
SEC Approves Trade Halt Rule for OTCBB; Effective Date: June 26, 2000
(Notice Posted on: 6/12/00)
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00-40
Independence Day: Trade Date - Settlement Date Schedule
(Notice Posted on: 6/12/00)
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00-39
Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 2000
(Notice Posted on: 6/12/00)
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00-38
Nasdaq Releases Its Latest Decimalization Testing Schedule
(Notice Posted on: 6/12/00)
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00-37
NAC Issues Decision on MSRB Rule G-37 Exemptive Relief
(Notice Posted on: 6/12/00)
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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
(Notice Posted on: 6/12/00)
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00-35
NASD Regulation Reminds Firms of CRD Continuing Education Notification Method and Informs Firms to Review Written Supervisory Procedures
(Notice Posted on: 6/12/00)
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00-34
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
(Notice Posted on: 6/5/00)
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Disciplinary and Other NASD Actions
(posted on 6/15/00)
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| May 2000 |
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00-33
NASD Regulation Adopts New Rule Interpretation to Require Confirmation Disclosure of Callable Common Stock
(Notice Posted on: 5/10/00)
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00-32
SEC Suspends Decimalization Deadline and Requests Comment on Extended Deadline
(Notice Posted on: 5/10/00)
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00-31
Fixed Income Pricing System Additions, Changes, and Deletions as of March 23, 2000
(Notice Posted on: 5/10/00)
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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
(Notice Posted on: 5/10/00)
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00-29
SEC Approves Changes to Nasdaq Locked/Crossed Markets Rule;
Effective Date: June 5, 2000
(Notice Posted on: 5/10/00)
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00-28
SEC Approves Use of Hard to Borrow List to Comply with the Affirmative Determination Requirement for Short Sales (Rule 3370)
(Notice Posted on: 5/10/00)
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00-27
Deadline Extended for Series 55 Equity Trader Examination to October 1, 2000
(Notice Posted on: 5/1/00)
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00-26
NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
(Notice Posted on: 4/24/00)
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Disciplinary and Other NASD Actions
(posted on 5/15/00)
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| April 2000 |
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View Full Month's Notices
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00-25
Memorial Day: Trade Date - Settlement Date Schedule
(Notice Posted on: 4/10/00)
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00-24
Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 2000
(Notice Posted on: 4/10/00)
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00-23
SEC Approves New Rules Relating to Bond Mutual Fund Volatility Ratings
(Notice Posted on: 4/10/00)
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00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period;
Effective Date: May 15, 2000
(Notice Posted on: 4/10/00)
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00-21
NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
(Notice Posted on: 4/10/00)
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Disciplinary and Other NASD Actions
(posted on 4/18/00)
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| March 2000 |
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View Full Month's Notices
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00-20
Good Friday: Trade Date - Settlement Date Schedule
(Notice Posted on: 3/10/00)
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00-19
Fixed Income Pricing System Additions, Changes, and Deletions as of January 24, 2000
(Notice Posted on: 3/10/00)
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00-18
NASD Regulation Issues Statement of Policy Regarding Recordation by Members of NASD Examinations
(Notice Posted on: 3/10/00)
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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
(Notice Posted on: 3/10/00)
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00-16
SEC Approves Changes to NASD Public Disclosure Program (Interpretive Material 8310-2)
(Notice Posted on: 3/10/00)
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00-15
SEC Approves Rule Change Relating to Filing Requirements for Independently Prepared Research Reports
(Notice Posted on: 3/10/00)
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00-14
NASD Members Must Update Firm Contact Information Via the NASD Regulation Web Site by April 30, 2000
(Notice Posted on: 3/10/00)
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Disciplinary and Other NASD Actions
(posted on 3/15/00)
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For Your Information
(posted on 3/10/00)
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| February 2000 |
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View Full Month's Notices
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00-13
NASD Board of Governors Nominees
(Notice Posted on: 2/29/00)
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00-12
Amendments Adopted to Clarify the Application of NASD Rules to Offerings Under SEC Rule 504 and Intra-State-Only Offerings
(Notice Posted on: 2/10/00)
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00-11
Fixed Income Pricing System Additions, Changes, and Deletions as of December 23, 1999
(Notice Posted on: 2/10/00)
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00-10
Nasdaq Reiterates Clearly Erroneous Complaint Procedures
(Notice Posted on: 2/10/00)
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00-09
NASD Issues Various MSRB Rule G-37 Decisions on Exemptive Relief
(Notice Posted on: 2/10/00)
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Disciplinary and Other NASD Actions
(posted on 2/15/00)
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For Your Information
(posted on 2/10/00)
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| January 2000 |
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View Full Month's Notices
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00-08
NASD Reminds Members of Their Obligations Regarding Municipal Securities Transaction Reporting
(Notice Posted on: 1/10/00)
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00-07
Disclosure to Customers Engaging in Extended Hours Trading
(Notice Posted on: 1/10/00)
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00-06
The Countdown to Decimals
(Notice Posted on: 1/10/00)
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00-05
Fixed Income Pricing System Additions, Changes, and Deletions as of November 23, 1999
(Notice Posted on: 1/10/00)
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00-04
Martin Luther King, Jr. Day and Presidents Day: Trade Date -- Settlement Date Schedule
(Notice Posted on: 1/10/00)
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00-03
Annual Checklist of NASD Notices to Members
(Notice Posted on: 1/10/00)
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00-02
NASD Alerts Members to Their Obligations Concerning Soliciting Business in Foreign Jurisdictions
(Notice Posted on: 1/10/00)
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00-01
1999-2000 Renewal Rosters and Final Adjusted Statements
(Notice Posted on: 1/10/00)
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Disciplinary and Other NASD Actions
(posted on 1/18/00)
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For Your Information
(posted on 1/10/00)
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