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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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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 2002 |
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02-85
NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
(Notice Posted on: 12/23/02)
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02-84
2003 Trade Date Settlement Date Schedule
(Notice Posted on: 12/9/02)
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02-83
NASD to Deduct Unpaid Mediation Filing Fees from CRD Accounts
(Notice Posted on: 12/9/02)
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02-82
Frequently Asked Questions Relating to Trading Halts
(Notice Posted on: 12/9/02)
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02-81
NASD Reduces Certain TRACE Fees for the 4th Quarter of 2002. The fee changes are effective as of October 1, 2002.
(Notice Posted on: 12/9/02)
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02-80
Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
(Notice Posted on: 12/2/02)
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Disciplinary and Other NASD Actions
(posted on 12/16/02)
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For Your Information
(posted on 12/9/02)
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| November 2002 |
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02-79
Notice of Meeting and Proxy
(Notice Posted on: 11/1/02)
A proxy package was sent to each NASD Executive Representative on November 4.
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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)
(Notice Posted on: 11/1/02)
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02-77
SEC Approves Rule Establishing New Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
(Notice Posted on: 11/1/02)
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02-76
Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
(Notice Posted on: 11/1/02)
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02-75
NASD Provides Additional Information on the Trading Activity Fee
(Notice Posted on: 10/30/02)
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02-74
NASD Requests Comment on its Public Information Review Initiative;
Comment Period Expired on January 6, 2003
(Notice Posted on: 10/29/02)
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02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures;
Effective Date: October 15, 2002
(Notice Posted on: 10/24/02)
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Disciplinary and Other NASD Actions
(posted on 11/15/02)
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For Your Information
(posted on 11/1/02)
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| October 2002 |
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02-72
Trade Date--Settlement Date Schedule: Veterans' Day and Thanksgiving Day
(Notice Posted on: 10/18/02)
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02-71
NASDAQ Provides Guidance on Recent Amendments to "Trade-or-Move" Rule and SuperMontage Opening Process
(Notice Posted on: 10/17/02)
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02-70
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
(Notice Posted on: 10/17/02)
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02-69
Clarification of Member Obligations Regarding Brokered Certificates of Deposit
Effective Date: October 8, 2002
(Notice Posted on: 10/17/02)
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02-68
SEC Approves Rule Change to IM-10100
(Notice Posted on: 10/1/02)
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02-67
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2003
Payment Deadline: December 6, 2002
(Notice Posted on: 9/30/02)
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02-66
SEC Approves NASD Rule 2315; Recommendations to Customers in OTC Equity Securities 649
(Notice Posted on: 9/30/02)
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Disciplinary and Other NASD Actions
(posted on 10/15/02)
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For Your Information
(posted on 10/18/02)
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| September 2002 |
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02-65
Nominees for District Committee and District Nominating Committee
(Notice Posted on: 9/27/02)
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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
(Notice Posted on: 9/19/02)
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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
(Notice Posted on: 9/18/02)
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02-62
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
(Notice Posted on: 9/18/02)
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02-61
SEC Approves Proposed Changes to the Taping Rule and NASD Interpretive Material 8310-2;
Effective Date: October 14, 2002
(Notice Posted on: 9/13/02)
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02-60
Columbus Day: Trade Date--Settlement Date Schedule
(Notice Posted on: 9/11/02)
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02-59
SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers;
Effective October 14, 2002
(Notice Posted on: 9/11/02)
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02-58
SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims;
Effective October 14, 2002
(Notice Posted on: 9/11/02)
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02-57
Use of Negative Response Letters for the Bulk Transfer of Customer Accounts
(Notice Posted on: 9/11/02)
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02-56
Nominees for NASD Board of Governors
(Notice Posted on: 9/4/02)
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Disciplinary and Other NASD Actions
(posted on 9/16/02)
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| August 2002 |
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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
(Notice Posted on: 8/21/02)
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02-54
NASD Requests Comment on Proposed Amendments to Rules 1014 and 1017;
Comment Period Expired September 20, 2002
(Notice Posted on: 8/21/02)
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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
(Notice Posted on: 8/21/02)
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02-52
NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition");
Comment Period Expired October 21, 2002
(Notice Posted on: 8/21/02)
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02-51
NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools.
Comment Period Expired October 1, 2002
(Notice Posted on: 8/15/02)
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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
(Notice Posted on: 8/13/02)
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02-49
NASD Adopts Amendments to IM-8310-2 Concerning Release of Disciplinary Information to the Public;
Implementation Date: September 1, 2002
(Notice Posted on: 8/12/02)
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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
(Notice Posted on: 8/12/02)
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02-47
Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers;
Effective Date: Transactions After December 30, 2002
(Notice Posted on: 8/12/02)
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02-46
NASD Announces Nomination Procedures for Regional Industry Member Vacancy on the National Adjudicatory Council;
Nomination Deadline: September 5, 2002
(Notice Posted on: 8/5/02)
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02-45
Alternative Display Facility (ADF) Nine-Month Pilot Approved for Trading in Nasdaq Securities
(Notice Posted on: 7/29/02)
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02-44
NASD Requests Comment on Application of Rule 2711 to Small Firms;
Comment Period Expired on August 30, 2002
(Notice Posted on: 7/26/02)
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Disciplinary and Other NASD Actions
(posted on 8/15/02)
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For Your Information
(posted on 8/15/02)
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| July 2002 |
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02-43
Labor Day: Trade Date--Settlement Date Schedule
(Notice Posted on: 7/16/02)
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02-42
Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 2002
(Notice Posted on: 7/16/02)
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02-41
NASD Informs Members of Proposed Changes to NASD's Gross Income Assessment, Personnel Assessment, and Regulatory Fee
(Notice Posted on: 7/22/02)
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02-40
NASD Requests Comment on Proposed Amendments to NASD Rule 2320 (Best Execution Rule);
Comment Period Expired August 9, 2002
(Notice Posted on: 7/10/02)
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02-39
SEC Approves Rule Governing Research Analysts Conflicts of Interest
(Notice Posted on: 6/26/02)
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02-38
Independence Day: Trade Date -- Settlement Date Schedule
(Notice Posted on: 6/21/02)
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Disciplinary and Other NASD Actions
(posted on 7/16/02)
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For Your Information
(posted on 7/16/02)
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| June 2002 |
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02-37
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
(Notice Posted on: 6/17/02)
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02-36
Fixed Income Pricing System Additions, Changes, and Deletions as of April 23, 2002
(Notice Posted on: 6/11/02)
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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
(Notice Posted on: 6/11/02)
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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
(Notice Posted on: 6/11/02)
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02-33
SEC Approves Amendments to NASD Rule 2260 Requiring Broker/Dealers to Forward Information Regarding Debt Securities to Beneficial Owners
(Notice Posted on: 6/11/02)
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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
(Notice Posted on: 6/11/02)
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02-31
NASD Seeks Comment on Proposed Changes to the OATS Rules;
Comment Period Expired July 10, 2002
(Notice Posted on: 6/11/02)
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Disciplinary and Other NASD Actions
(posted on 6/17/02)
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For Your Information
(posted on 6/11/02)
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| May 2002 |
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02-30
Fixed Income Pricing System Additions, Changes, and Deletions as of March 22, 2002
(Notice Posted on: 5/8/02)
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02-29
NASD Provides Guidance on Order Audit Trail System Rules
(Notice Posted on: 5/8/02)
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02-28
Member Obligations Regarding Long-Term or Brokered Certificates of Deposit
(Notice Posted on: 5/8/02)
Note: This Notice is superseded by Notice to Members 02-69.
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02-27
Series 22, 27, 28, 39, 55 and 82 Modified
(Notice Posted on: 5/8/02)
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02-26
SEC Approves Rule Change Requiring Members to File Information with the Corporate Financing Department Through Its Electronic Filing System
(Notice Posted on: 5/8/02)
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Disciplinary and Other NASD Actions
(posted on 5/15/02)
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For Your Information
(posted on 5/8/02)
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| April 2002 |
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02-25
Memorial Day: Trade Date--Settlement Date Schedule
(Notice Posted on: 4/12/02)
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02-24
Fixed Income Pricing System Additions, Changes, and Deletions as of February 21, 2002
(Notice Posted on: 4/12/02)
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02-23
The NASD Seeks Comment on Proposed Rules Relating to Member Firm Business Continuity Plans and Emergency Contact Information
(Notice Posted on: 4/10/02)
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02-22
Securities Industry/Regulatory Council on Continuing Education Issues a Status Report on the Securities Industry Continuing Education Program
(Notice Posted on: 4/12/02)
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02-21
NASD Provides Guidance to Member Firms Concerning Anti-Money Laundering Compliance Programs Required by Federal Law
(Notice Posted on: 4/10/02)
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Disciplinary and Other NASD Actions
(posted on 10/15/03)
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| March 2002 |
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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
(Notice Posted on: 3/15/02)
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02-19
SEC Review of Auditor Independence Rules
(Notice Posted on: 3/11/02)
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02-18
Fixed Income Pricing System Additions, Changes, and Deletions as of January 22, 2002
(Notice Posted on: 3/11/02)
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02-17
Alerting Customers to Adjustments to Option Contracts
(Notice Posted on: 3/11/02)
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02-16
NASD Dispute Resolution to Consolidate Western Region March 4, 2002
(Notice Posted on: 2/19/02)
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Disciplinary and Other NASD Actions
(posted on 3/15/02)
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For Your Information
(posted on 3/11/02)
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| February 2002 |
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02-15
Trade Date--Settlement Date for Good Friday 2002
(Notice Posted on: 2/11/02)
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02-14
Fixed Income Pricing System Additions, Changes, and Deletions as of December 21, 2001
(Notice Posted on: 2/11/02)
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02-13
SEC Approves Permanent Injunctive Relief Rule
(Notice Posted on: 2/11/02)
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02-12
NASD Adopts Amendments to Relieve Registered Representatives Serving in the Armed Forces From Continuing Education Requirements
(Notice Posted on: 1/29/02)
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02-11
NASD Dispute Resolution Establishes a New Hearing Location in Orlando, Florida, for Arbitration and Mediation Claims Filed in Its Forum
(Notice Posted on: 1/29/02)
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Disciplinary and Other NASD Actions
(posted on 2/15/02)
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For Your Information
(posted on 2/11/02)
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| January 2002 |
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View Full Month's Notices
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02-10
The NASD Requests Information on Steps that Can be Taken to Streamline NASD Rules;
Response Period Expired March 15, 2002
(Notice Posted on: 1/29/02)
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02-09
NASD Seeks Member Comment on Proposed Changes to NASD's Regulatory Fee:
Comment Period Expired February 28, 2002
(Notice Posted on: 1/15/02)
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02-08
Fixed Income Pricing SystemSM Additions, Changes, and Deletions as of November 28, 2001
(Notice Posted on: 1/10/02)
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02-07
NASD Adopts Interpretive Material Prohibiting Interference with the Transfer of Customer Accounts in the Context of Employment Disputes
(Notice Posted on: 1/10/02)
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02-06
Trade Date--Settlement Date Schedule For Martin Luther King Day And Presidents' Day
(Notice Posted on: 1/10/02)
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02-05
Changes to FOCUS Resulting from Certain Disclosure and Asset Recognition Requirements Under FASB 140
(Notice Posted on: 1/10/02)
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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
(Notice Posted on: 1/10/02)
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02-03
Broker/Dealer, Investment Adviser, and Agent Renewals 2002 Renewal Rosters and Final Renewal Statements
(Notice Posted on: 1/10/02)
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02-02
Effective Date for New Series 6 Program Regulatory Element (S106) for Investment Representatives
(Notice Posted on: 12/31/01)
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02-01
Rule Proposal Regarding Nasdaq Separation and the Alternative Display Facility.
SEC Comment Period Expired January 21, 2002
(Notice Posted on: 12/28/01)
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Disciplinary and Other NASD Actions
(posted on 1/15/02)
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