2003 Notices to Members
| January | February | March | April | May | June | July | August | September | October | November | December |
December 2003 |
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03-81
Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
Effective Date: January 1, 2004
Posted on: 12/30/03
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03-80
NASDAQ Announces New Service Termination Policy Effective January 1, 2004
Posted on: 12/30/03
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03-79
SEC Approves New Rule 2790 (Restrictions on the Purchase and Sale of IPOs of Equity Securities); Replaces Free-Riding and Withholding Interpretation; Voluntary
Effective Date: December 23, 2003; Mandatory Effective Date: March 23, 2004
Posted on: 12/23/03
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03-78
2004 Trade Date Settlement Date Schedule
Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005).
Posted on: 12/10/03
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03-77
Disclosure of Mutual Fund Expense Ratios in Performance Advertising: NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material);
Comment Period Expired January 23, 2004
Posted on: 12/9/03
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03-76
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program); Access to Information Available Under Interpretive Material 8310-2;
Comment Period Expired January 9, 2004
Posted on: 12/4/03
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03-75
Notice of Meeting and Proxy
A proxy package was sent to each NASD Executive Representative on December 2.
Posted on: 12/2/03
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Disciplinary and Other NASD Actions
Posted on: 12/15/03
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For Your Information
Posted on: 12/31/03
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November 2003 |
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03-74
Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
Posted on: 11/26/03
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03-73
NASD Announces Online Availability of Comments
Posted on: 11/26/03
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03-72
Request for Comment on Regulatory Approaches to Enhance IPO Pricing Transparency;
Note: The comment period has been extended to January 23, 2004.
Comment Period Expires January 9, 2004
Posted on: 11/24/03
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03-71
NASD Reminds Members of Obligations When Selling Non-Conventional Investments
Posted on: 11/11/03
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03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Posted on: 11/6/03
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03-69
SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs);
Changes Effective November 10, 2003
Posted on: 11/5/03
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03-68
NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
Posted on: 11/4/03
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Disciplinary and Other NASD Actions
Posted on: 11/17/03
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October 2003 |
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03-67
SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
Effective Date: December 1, 2003
Posted on: 10/30/03
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03-66
Approves Proposed Changes to NASD Rule 2520;
Effective Date: December 1, 2003
Posted on: 10/28/03
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03-65
NASD Revises NASD Sanction Guidelines
Posted on: 10/28/03
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03-64
New Arbitrator Applicants Must Undergo Background Verification and Pay Fee;
Effective October 1, 2003
Posted on: 10/15/03
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03-63
SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
Posted on: 10/28/03
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03-62
SEC Approves NASD Rule Proposal To Govern Lending Between Registered Persons and Customers;
Effective date: November 10, 2003
Posted on: 10/8/03
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03-61
Broker/Dealer, Registered Representative, Investment Adviser Firm, and Investment Adviser Representative Renewals for 2004; Payment Deadline: December 5, 2003
Posted on: 10/7/03
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03-60
Nominees for NASD Board of Governors
Posted on: 10/10/03
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| 03-59 03-59 Due to a change in our publishing schedule, there is no Notice numbered 03-59. |
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Disciplinary and Other NASD Actions
Posted on: 10/15/03
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September 2003 |
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03-58
NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
Posted on: 9/30/03
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03-57
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Posted on: 9/30/03
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03-56
Rule Amendments to Require Member Applicants to File Forms U4 Electronically;
Operative Date: October 27, 2003
Posted on: 9/29/03
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03-55
SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm.
Note: This Notice is superseded by Notice to Members 03-69.
Posted on: 9/25/03
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03-54
NASD Requests Comment on Proposed Amendments to Rule 2830 (Investment Company Securities);
Comment Period Expired October 17, 2003
Posted on: 9/17/03
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03-53
SEC Announces Immediate Effectiveness of Amendments to Non-Cash Compensation Provisions of Rule 2710 and Rule 2810
Posted on: 9/24/03
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03-52
Nominees for District Committee and District Nominating Committee
Posted on: 9/16/03
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03-51
Amendments to Article VIII of the By-Laws of NASD Regulation, Inc., Regarding District Committees and District Nominating Committees
Posted on: 9/12/03
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03-50
NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
Posted on: 9/5/03
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03-49
NASD Requests Comment on Proposed Amendments to Rule 3010 to Require Heightened Supervision Plans for Associated Persons with a Specified Threshold of Industry/Regulatory-Related Events
Note: The comment period has been extended to October 31, 2003.
Posted on: 9/5/03
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Disciplinary and Other NASD Actions
Posted on: 9/15/03
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August 2003 |
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03-48
SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
Posted on: 8/28/03
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03-47
Refunds to Customers Who Did Not Receive Appropriate Breakpoint Discounts in Connection with the Purchase of Class A Shares of Front-End Load Mutual Funds and the Capital Treatment of Refund Liability
Posted on: 8/25/03
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03-46
Amendments Relating to Requests for Underwriting Activity Reports
Posted on: 8/22/03
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03-45
SEC Approves Amendments to TRACE Rule 6260 to Require New Issue Notifications to Include Dissemination Eligibility Information and Be Submitted in Writing
Posted on: 8/19/03
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03-44
SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of Interest
Posted on: 8/3/03
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03-43
SEC Approves Increase to the Trading Activity Fee
Posted on: 7/31/03
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Disciplinary and Other NASD Actions
Posted on: 8/15/03
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July 2003 |
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03-42
SEC Approves Proposed Changes to Forms U4 and U5;
Implementation Date: July 14, 2003
Posted on: 7/9/03
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03-41
NASD Has Amended Section 4(b) of Schedule A to the NASD By-Laws to Increase and Establish New Fingerprint Processing Fees;
Implementation Date: July 15, 2003
Posted on: 7/9/03
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03-40
The Regulatory Element Continuing Education Supervisors Program (S201) to be available July 14, 2003, at Pearson VUE centers in London and Paris; the S201 is available now for members that provide In-Firm Delivery of the Regulatory Element.
Posted on: 7/7/03
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03-39
03-39 NASD Announces Implementation of the First Phase of Electronic Fingerprint Processing in July 2003 and Amends Section 4 of Schedule A to the NASD By-Law to Increase and Establish New Fingerprint Processing Fees;
This Notice was withdrawn on 07/09/03.
Implementation Date: July 15, 2003
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03-38
SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
Posted on: 7/7/03
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03-37
New Series 23 Examination;
Effective Date: July 7, 2003
Posted on: 7/1/03
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03-36
SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes
Posted on: 6/30/03
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03-35
SEC Approves NASD Rule Change Giving NASD Authority to Issue and Enforce Temporary Cease and Desist Orders
Posted on: 6/23/03
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03-34
Treasury and SEC Issue Final Rule Regarding Customer Identification Programs for Broker/Dealers;
Effective Date: October 1, 2003
Posted on: 6/20/03
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03-33
Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Posted on: 6/18/03
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Disciplinary and Other NASD Actions
Posted on: 7/15/03
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June 2003 |
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03-32
Clarification of NASD Establishment of Consultative Committees
Posted on: 6/16/03
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03-31
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Posted on: 6/9/03
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03-30
SEC Approves Revisions to NASD By-Laws Regarding Trading Activity Fee
Posted on: 6/5/03
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03-29
Certification by Chief Executive Officer and Chief Compliance Officer: NASD Requests Comment on Proposal to Amend Rule 3010 and Adopt Interpretive Material 3010-1.
Comment Period Expired on July 18, 2003
Posted on: 6/4/03
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03-28
SEC Approves NASD Rule Proposal Requiring Quotation Recording and Reporting for OTC Equity Securities;
Effective Date: June 27, 2003
Posted on: 5/28/03
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Disciplinary and Other NASD Actions
Posted on: 6/16/03
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May 2003 |
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03-27
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Posted on: 5/28/03
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03-26
SEC Approves Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
Posted on: 5/15/03
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03-25
Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003; New Waiver Agreement Form
Effective March 31, 2003
Posted on: 5/15/03
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03-24
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Posted on: 5/6/03
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03-23
SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
Posted on: 4/21/03
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Disciplinary and Other NASD Actions
Posted on: 5/15/03
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April 2003 |
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03-22
Dissemination of Additional Corporate Debt Securities Will Begin on April 14, 2003
Posted on: 4/11/03
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03-21
SEC Approves Amendments to NASD Rules Regarding Prohibition Against Guarantees and Sharing in Customer Accounts;
Effective Date: May 12, 2003
Posted on: 4/11/03
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03-20
Technical Changes to the NASD Registration Rules Effective Immediately
Posted on: 4/11/03
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03-19
NASD Expands Equity Option Hedge Exemption
Posted on: 4/11/03
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03-18
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council;
Nomination Deadline: May 9, 2003
Posted on: 4/11/03
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Disciplinary and Other NASD Actions
Posted on: 4/15/03
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For Your Information
Posted on: 4/15/03
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March 2003 |
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03-17
Sales Material for Municipal Fund Securities
Posted on: 3/25/03
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03-16
SEC Approves New Rule and Rule Amendments Concerning Audit Trail and Trading Halt Requirements for ATSs that Trade Security Futures;
Effective Date: March 31, 2003
Posted on: 3/7/03
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03-15
NASD Adopts Amendments to IM-2260 Regarding Rates of Reimbursement for Expenses Incurred in Forwarding Proxy and Other Material;
Effective Immediately
Posted on: 3/7/03
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03-14
NASD Announces Implementation of Web EFT and Amends Section 9 of Schedule A to the NASD By-Laws Establishing an Annual Subscription Charge for NASD Members That Use Web EFT;
Implementation Date: March 24, 2003
Posted on: 3/7/03
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03-13
NASD Reminds Firms about Transaction Reporting Requirements and Announces Enforcement Actions Against Firms for Violations of MSRB Transaction Reporting Rules G-12 and G-14
Posted on: 3/3/03
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Disciplinary and Other NASD Actions
Posted on: 3/17/03
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For Your Information
Posted on: 3/7/03
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February 2003 |
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03-12
SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More Than 4,000 Corporate Debt Securities
Posted on: 2/14/03
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03-11
SEC Approves Changes to Rule on Clearly Erroneous Transactions; Changes Effective Immediately
Posted on: 2/12/03
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03-10
NASD Establishes Consultative Committees
Posted on: 2/10/03
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03-09
NASD Announces Election Results for District Committees and District Nominating Committees
Posted on: 2/3/03
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03-08
NASD Clarifies the Application of Short Interest Reporting Rule
Posted on: 1/31/03
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03-07
NASD Reminds Members of Obligations When Selling Hedge Funds
Posted on: 1/23/03
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Disciplinary and Other NASD Actions
Posted on: 2/18/03
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January 2003 |
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03-06
NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
Posted on: 1/15/03
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03-05
Trade Date-Settlement Date Schedule for Martin Luther King Day and President's Day
Posted on: 1/10/03
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03-04
NASD Solicits Vote on Amendments to the NASD By-Laws Concerning the Definition of Disqualification and Failure to Pay Arbitration Awards;
Last Voting Date: February 10, 2003
Posted on: 1/10/03
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03-03
NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
Posted on: 12/31/02
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03-02
NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
Posted on: 12/27/02
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03-01
2003 Renewal Reports and Final Renewal Statements
Posted on: 12/27/02
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Disciplinary and Other NASD Actions
Posted on: 1/15/03
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