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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 2004 |
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04-95
NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities
(Notice Posted on: 12/28/04)
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04-94
Nominees for the District Committee for District 10
(Notice Posted on: 12/20/04)
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04-93
Short Sale Requirements -- Issues Relating to the SEC's Adoption of Regulation SHO
(Notice Posted on: 12/28/04)
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04-92
Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD;
Implementation Date: January 1, 2005
(Notice Posted on: 12/13/04)
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04-91
NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule;
Implementation Date: January 1, 2005
(Notice Posted on: 12/9/04)
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04-90
NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
(Notice Posted on: 12/8/04)
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04-89
NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
(Notice Posted on: 12/8/04)
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Disciplinary and Other NASD Actions
(posted on 12/15/04)
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For Your Information
(posted on 12/31/04)
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| November 2004 |
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View Full Month's Notices
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04-88
Notice of Meeting and Proxy
(Notice Posted on: 11/30/04)
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04-87
2005 Trade Date-Settlement Date Schedule
(Notice Posted on: 11/30/04)
This version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.
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04-86
SEC approves NASD Interpretive Material to Rule 2210 regarding member firms' use of investment analysis tools;
Effective Date: February 14, 2005
(Notice Posted on: 11/16/04)
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04-85
SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS;
Effective Date: February 14, 2005
(Notice Posted on: 11/16/04)
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04-84
SEC Approves Adjustments to the Trading Activity Fee
(Notice Posted on: 11/15/04)
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04-83
NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions;
Comment Period Expired January 10, 2005
(Notice Posted on: 11/11/04)
View Comments
Note: The comment period was extended to February 1, 2005.
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04-82
NASD Announces Election Results for District Committees and District Nominating Committees
(Notice Posted on: 11/16/04)
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04-81
SEC Approves New NASD Qualification Requirements for
Supervisors of Research Analysts;
Compliance Date: No
Later Than August 2, 2005
(Notice Posted on: 11/10/04)
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04-80
NASD Seeks Comment on Proposed Changes to the OATS Rules;
Comment Period Expired January 20, 2005
(Notice Posted on: 11/9/04)
View Comments
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04-79
SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements;
Compliance Date: December 1, 2004
(Notice Posted on: 11/1/04)
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Disciplinary and Other NASD Actions
(posted on 11/15/04)
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| October 2004 |
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04-78
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements; Effective Date: Anticipated April 2005;
Specific Date to be Announced in Future Notice to Members
(Notice Posted on: 10/27/04)
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04-77
SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5;
Effective Date: November 22, 2004
(Notice Posted on: 10/21/04)
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04-76
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
(Notice Posted on: 10/21/04)
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04-75
NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements;
Comment Period Expired November 26, 2004
(Notice Posted on: 10/12/04)
View Comments
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04-74
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005;
Payment Deadline: December 6, 2004
(Notice Posted on: 10/11/04)
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04-73
Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees; Implementation Date: January 1, 2005
(Notice Posted on: 10/8/04)
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04-72
Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
(Notice Posted on: 10/5/04)
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04-71
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls;
Effective Date: January 31, 2005
(Notice Posted on: 10/4/04)
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04-70
Nominees for NASD Board of Governors
(Notice Posted on: 10/6/04)
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04-69
Mandatory Use of Combined New Order/Route and Combined New Order/Execution Reports Delayed until April 4, 2005; Clarification of Combined Reporting Format Requirements for Related Order Information Submitted by Multiple Order Sending Organizations
(Notice Posted on: 10/1/04)
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Disciplinary and Other NASD Actions
(posted on 10/15/04)
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| September 2004 |
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04-68
SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access;
Effective Date: October 20, 2004
(Notice Posted on: 9/20/04)
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04-67
Nominees for District Committee and District Nominating Committee
(Notice Posted on: 9/16/04)
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04-66
NASD Reminds Member Firms of Their Obligations to Ensure the Accuracy and Integrity of Information Entered into Order-Routing and Execution Systems
(Notice Posted on: 9/14/04)
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04-65
SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements
(Notice Posted on: 9/8/04)
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Disciplinary and Other NASD Actions
(posted on 9/15/04)
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| August 2004 |
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04-64
SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete;
Effective Date: August 10, 2004
(Notice Posted on: 8/24/04)
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04-63
New SEC Procedures Relating to Section 31 of the Securities Exchange Act of 1934
(Notice Posted on: 8/20/04)
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04-62
SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators;
Effective Date: September 30, 2004
(Notice Posted on: 8/17/04)
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04-61
SEC Approves Amendments to Rule 10308 Regarding the Time for Chairperson Selection;
Effective Date: September 17, 2004
(Notice Posted on: 8/17/04)
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04-60
SEC Approves Increase to the Arbitrator Panel Training Fee;
Effective Date: September 16, 2004
(Notice Posted on: 8/13/04)
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04-59
SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council;
Effective Date: September 1, 2004
(Notice Posted on: 8/11/04)
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04-58
SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS);
Effective Date: September 13, 2004
(Notice Posted on: 8/10/04)
This version was updated on 8/19/04.
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04-57
NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
(Notice Posted on: 8/9/04)
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04-56
SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System;
Effective August 5, 2004
(Notice Posted on: 8/5/04)
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04-55
NASD Requests Comment on a Proposed Uniform Branch Office Registration Form;
Comment Period Expired September 3, 2004
(Notice Posted on: 8/4/04)
View Comments
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04-54
Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities.
Extended to September 24, 2004
(Notice Posted on: 8/2/04)
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Disciplinary and Other NASD Actions
(posted on 8/16/04)
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| July 2004 |
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04-53
SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings;
Effective Date: August 16, 2004
(Notice Posted on: 7/16/04)
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04-52
Guidance on the Requirements for Availability of the Bona Fide Fully Arbitraged Exemption
(Notice Posted on: 7/21/04)
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04-51
SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005
(Notice Posted on: 7/14/04)
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04-50
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule);
Effective Date: July 13, 2004
(Notice Posted on: 7/13/04)
The effective date has been delayed until Tuesday, October 12, 2004.
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Disciplinary and Other NASD Actions
(posted on 7/15/04)
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| June 2004 |
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04-49
SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
Effective Date: July 19, 2004
(Notice Posted on: 6/18/04)
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04-48
SEC Approves Amendments to Rule 6954 Requiring Members to Record and Report Execution Price and Firm Capacity in OATS Execution Reports
Effective Date: October 4, 2004
(Notice Posted on: 6/18/04)
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04-47
Members' Obligations with Respect to the Transfer of Cost Basis Information
(Notice Posted on: 6/18/04)
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04-46
Mandatory Changes to OATS New Order, Combined New Order/Route, and Combined New Order/Execution Reports
(Notice Posted on: 6/16/04)
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04-45
NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities;
Comment Period Expires August 9, 2004
(Notice Posted on: 6/9/04)
View Comments
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04-44
Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
(Notice Posted on: 6/2/04)
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04-43
Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
(Notice Posted on: 6/2/04)
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04-42
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
(Notice Posted on: 6/8/04)
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04-41
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
(Notice Posted on: 6/1/04)
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Disciplinary and Other NASD Actions
(posted on 6/15/04)
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| May 2004 |
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View Full Month's Notices
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04-40
NASD Clarifies ACT Short Sale Reporting Requirements
(Notice Posted on: 5/28/04)
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04-39
SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements;
Effective Date: June 17, 2004
(Notice Posted on: 5/19/04)
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04-38
NASD Reminds Member Firms of Their Obligations to Adhere to Credit Extension Requirements and Day Trading Margin Rules
(Notice Posted on: 5/7/04)
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04-37
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information;
Effective Dates:
Rule 3510: Clearing Firms: August 11, 2004
Introducing Firms: September 10, 2004
Rule 3520: All Firms: June 14, 2004
(Notice Posted on: 5/5/04)
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04-36
SEC Approves NASD Proposed Rule 9550 Series on Expedited Proceedings
(Notice Posted on: 5/5/04)
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Disciplinary and Other NASD Actions
(posted on 5/15/04)
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| April 2004 |
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View Full Month's Notices
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04-35
NASD Reminds Member Firms of Their Obligations to File Certain Financial Reports
(Notice Posted on: 4/30/04)
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04-34
Due to a change in our publishing schedule, there is no Notice numbered 04-34.
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04-33
Limited Net Capital Relief from the Reclassification of Certain Equity as Liabilities in Accordance with Statement of Financial Accounting Standards No. 150
(Notice Posted on: 4/19/04)
Action Required by May 10, 2004
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04-32
SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information;
Effective Date: May 14, 2004
(Notice Posted on: 4/14/04)
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04-31
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council;
Nomination Deadline: May 17, 2004
(Notice Posted on: 4/21/04)
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04-30
NASD Reminds Firms of Sales Practice Obligations In Sale of Bonds and Bond Funds
(Notice Posted on: 4/13/04)
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04-29
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
(Notice Posted on: 4/15/04)
This version corrects certain administrative and other non-substantive text.
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04-28
SEC Approves Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets;
Effective Date: March 12, 2004
(Notice Posted on: 4/6/04)
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04-27
NASD Solicits Member Vote on Amendments to NASD By-Laws to Reconfigure NASD Board;
Last Voting Date: May 6, 2004
(Notice Posted on: 4/6/04)
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Disciplinary and Other NASD Actions
(posted on 4/15/04)
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| March 2004 |
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View Full Month's Notices
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04-26
NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
(Notice Posted on: 3/31/04)
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04-25
SEC Approves New NASD Research Analyst Qualification and Examination Requirements (Series 86/87);
Effective Date: March 30, 2004
(Notice Posted on: 3/31/04)
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04-24
SEC Announces Immediate Effectiveness of IM-3150 Governing Exemptions from the Reporting Requirements of NASD Rule 3150;
Effective Date: February 20, 2004
(Notice Posted on: 3/23/04)
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04-23
NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan (MRVP) to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5); and (2) Adopting a Rule to Create an Inactive Disclosure Review Registration Status;
Comment Period Expired April 19, 2004
(Notice Posted on: 3/18/04)
View Comments
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04-22
SEC Approves Amendments to Rule 1120 (Continuing Education Requirements) Regarding Regulatory Element Contact Person
(Notice Posted on: 3/17/04)
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04-21
NASD Provides Further Guidance on Amendments to NASD Rule 3370-Affirmative Determination Requirements
(Notice Posted on: 3/17/04)
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04-20
IPO Distribution Manager to Replace Compliance Desk; Filings Required for All New Issues as Defined in Rule 2790;
Voluntary Effective Date: March 23, 2004; Mandatory Effective Date: April 16, 2004
(Notice Posted on: 3/12/04)
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04-19
NASD Releases Minor Rule Violation Plan (MRVP) Guidelines
(Notice Posted on: 3/9/04)
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04-18
NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
(Notice Posted on: 3/9/04)
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04-17
NASD Revises NASD Sanction Guidelines
(Notice Posted on: 3/8/04)
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04-16
NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository;
Effective Date: April 12, 2004
(Notice Posted on: 3/4/04)
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04-15
SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry;
Effective Date: March 31, 2004
(Notice Posted on: 3/2/04)
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04-14
SEC Approves Amendments to Rule Governing Lending Between Registered Persons and Customers;
Effective date: February 18, 2004
(Notice Posted on: 3/2/04)
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Disciplinary and Other NASD Actions
(posted on 3/15/04)
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| February 2004 |
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View Full Month's Notices
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04-13
SEC Approves Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates-Conflicts of Interest);
Effective Date: March 22, 2004
(Notice Posted on: 2/27/04)
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04-12
Change in Policy of Granting Foreign Deferrals to Registered Supervisors and Principals from the Continuing Education Regulatory Element
(Notice Posted on: 2/23/04)
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04-11
NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
(Notice Posted on: 2/23/04)
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04-10
SEC Approves Amendments to Membership Application and Continuation Rules (Rules 1011, 1014, and 1017)
(Notice Posted on: 2/23/04)
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04-09
SEC Announces Immediate Effectiveness of Amendments to Section 4 of Schedule A to the NASD By-Laws
(Notice Posted on: 2/19/04)
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04-08
Effective Date of Amendments to NASD Rule 3370 (Affirmative Determination Requirements) Extended to April 1, 2004
(Notice Posted on: 2/18/04)
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04-07
NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs);
Comment Period Expired March 12, 2004
(Notice Posted on: 2/3/04)
View Comments
This version corrects certain administrative and other non-substantive text.
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Disciplinary and Other NASD Actions
(posted on 2/17/04)
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| January 2004 |
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View Full Month's Notices
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04-06
SEC Approves Permanent TRACE Fee Structure and Nine-Month Pilot Program for BTDS Professional Delayed-Time Data Display Fee
(Notice Posted on: 1/28/04)
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04-05
NASD Announces Election Results for District Committees and District Nominating Committees
(Notice Posted on: 1/28/04)
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04-04
SEC Announces Immediate Effectiveness of Amendments to Section 5 of Schedule A to the NASD By-Laws
(Notice Posted on: 1/26/04)
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04-03
SEC Approves NASD Rule Proposal Requiring Members to Make Affirmative Determinations for Short Sale Orders Received from Non-Member Broker/Dealers;
Effective Date: February 20, 2004
(Notice Posted on: 1/20/04)
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04-02
2004 Renewal Reports and Final Renewal Statements
(Notice Posted on: 1/12/04)
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04-01
NASD Provides Additional Information Regarding Options Exemption for the Trading Activity Fee
(Notice Posted on: 1/2/04)
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Disciplinary and Other NASD Actions
(posted on 1/15/04)
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