2005 Notices to Members
| January | February | March | April | May | June | July | August | September | October | November | December |
December 2005 |
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05-85
SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure;
Effective January 30, 2006
Posted on: 12/30/05
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05-84
NASD Announces Election Results for the District Committee for District 7
Posted on: 12/28/05
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05-83
NASD Notice of Meeting and Proxy
Posted on: 12/30/05
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05-82
SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims;
Effective Date: January 17, 2006
Posted on: 12/21/05
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05-81
2006 Trade Date-Settlement Date Schedule
This Notice has been updated to reflect the removal of Veterans' Day from the Trade Date - Settlement Date schedule, and to correct the Thanksgiving Reg. T date for the November 24 trade date.
Posted on: 12/20/05
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05-80
SEC Approves Amendments to IM-8310-2 Regarding the Publication of Decisions Issued by the National Adjudicatory Council (NAC) Pursuant to NASD Rule 1015;
Effective Date: January 12, 2006
Posted on: 12/13/05
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Disciplinary and Other NASD Actions
Posted on: 12/15/05
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For Your Information
Posted on: 12/31/05
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November 2005 |
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05-79
Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees;
This version corrects the Series 22 (Direct Participation Programs Representative) Fee.
Implementation Date: January 1, 2006
Posted on: 11/16/05
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05-78
SEC Approves Amendments to the OATS Rules;
Effective Date: May 8, 2006
Posted on: 11/11/05
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05-77
Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE
NTM 05-77 has been superseded by Notice 07-61
Posted on: 11/9/05
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05-76
Nominees for NASD Board of Governors
Posted on: 11/9/05
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05-75
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
Posted on: 11/3/05
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05-74
NASD Announces Election Results for District Committees and District Nominating Committees
Posted on: 11/9/05
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05-73
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006;
Payment Deadline: December 14, 2005
Posted on: 11/1/05
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Disciplinary and Other NASD Actions
Posted on: 11/15/05
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October 2005 |
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05-72
SEC Approves Amendments to NASD Rule 3150, Regarding Reporting Requirements for Clearing Firms, and NASD Rule 3230, Regarding Requirements for Clearing Agreements;
Effective Date: February 20, 2006
Posted on: 10/21/05
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05-71
SEC Approves NASD Interpretive Material to Rule 9216 regarding NASD's MRVP;
Effective Date: November 14, 2005
Posted on: 10/17/05
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05-70
Revisions to the Series 4, 6 and 9/10 Examination Programs;
Implementation Date: November 30, 2005
Posted on: 10/14/05
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05-69
SEC Approves New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances;
Effective Date: January 9, 2006
Posted on: 10/10/05
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05-68
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Posted on: 10/7/05
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05-67
SEC Approves Uniform Branch Office Definition and Related Interpretive Material;
Effective Date: May 1, 2006
Posted on: 10/6/05
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05-66
SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5;
Effective Date: October 31, 2005
Posted on: 10/6/05
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05-65
SEC Approves Amendments Relating to Rule 2790;
Effective Date: November 2, 2005
Posted on: 10/3/05
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05-64
SEC Approves Amendments to IM-2110-2 to Require Members to Provide Price Improvement to Customer Limit Orders in Certain Circumstances and to Expand IM-2110-2 to Exchange-Listed Securities;
Effective Date: January 2, 2006
Posted on: 10/3/05
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Disciplinary and Other NASD Actions
Posted on: 10/17/05
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September 2005 |
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05-63
NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting;
Comment Period Expired November 29, 2005
Posted on: 9/30/05
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05-62
Nominees for District Committee and District Nominating Committee
Posted on: 9/27/05
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05-61
NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee;
Comment Period Expired October 31, 2005
Posted on: 9/16/05
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05-60
Important Information Regarding the Suspension of Trading in the Securities of Bancorp International Group, Inc. (BCIT.PK)
Posted on: 9/14/05
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05-59
NASD Provides Guidance Concerning the Sale of Structured Products
Posted on: 9/12/05
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05-58
Intermarket Surveillance Group Requires Validation of Electronic Blue Sheet Submissions
Posted on: 9/7/05
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05-57
Guidance to Members Affected by Hurricane Katrina
Posted on: 9/2/05
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Disciplinary and Other NASD Actions
Posted on: 9/15/05
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August 2005 |
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05-56
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Posted on: 8/29/05
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05-55
SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions;
Effective Date: September 26, 2005
Posted on: 8/26/05
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05-54
NASD Announces Nominee for Regional Industry Member Vacancy on the National Adjudicatory Council
Posted on: 8/25/05
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| 05-53 Due to a change in our publishing schedule, there is no Notice numbered 05-53. |
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05-52
SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser;
Effective Date: October 1, 2005
Posted on: 8/17/05
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05-51
Member Obligations with Respect to Volume-Weighted Average Price Transactions
Posted on: 8/11/05
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05-50
Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities
Posted on: 8/8/05
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Disciplinary and Other NASD Actions
Posted on: 8/15/05
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July 2005 |
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05-49
NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
Posted on: 7/28/05
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05-48
Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
Posted on: 7/22/05
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05-47
Unexpected Close of Securities Markets
Posted on: 7/6/05
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05-46
SEC Approves Amendments Relating to Taping Rule "Opt Out" and Exemption Provisions;
Effective Date: August 1, 2005
Posted on: 7/1/05
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Disciplinary and Other NASD Actions
Posted on: 7/15/05
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June 2005 |
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05-45
Agency Securities Lending Disclosure Initiative
Posted on: 6/30/05
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05-44
SEC Approves Amendments Relating to Annual Compliance Meetings;
Effective Date: July 25, 2005
Posted on: 6/24/05
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05-43
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council;
Nomination Deadline: August 1, 2005
Posted on: 6/30/05
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05-42
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Posted on: 6/20/05
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05-41
Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.
Posted on: 6/10/05
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05-40
NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities;
Comment Period Expired August 5, 2005
Posted on: 5/9/05
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Disciplinary and Other NASD Actions
Posted on: 6/15/05
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May 2005 |
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05-39
NASD Suggests Best Practices for Fingerprinting Procedures
Posted on: 5/26/05
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05-38
NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts; Immediate Action May Be Required to Ensure Compliance
Posted on: 5/20/05
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05-37
NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data;
Effective Date: June 1, 2005
Posted on: 5/17/05
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05-36
SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators;
Effective Date: May 6, 2005
Posted on: 5/6/05
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05-35
SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations;
Effective June 6, 2005
Posted on: 5/5/05
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05-34
SEC Approves Amendments to Rule 2711 to Prohibit Research Analysts from Participating in a Road Show and from Communicating with Customers in the Presence of Investment Banking Personnel or Company Management about an Investment Banking Services Transaction;
Compliance Date: June 6, 2005
Posted on: 5/3/05
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Disciplinary and Other NASD Actions
Posted on: 5/16/05
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April 2005 |
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05-33
Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO
Posted on: 4/28/05
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05-32
SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
Posted on: 4/27/05
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05-31
Pilot Program to Increase Position and Exercise Limits for Equity Options and New Reverse Collar Strategy Added to Equity Option Hedge Exemptions
Posted on: 4/27/05
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05-30
SEC Approves New Alternative Display Facility (ADF) Pilot Rule Giving NASD Authority to Receive and Review Complaints Alleging Denial of Access to an ADF Market Participant Quote;
Compliance Date: May 26, 2005
Posted on: 4/26/05
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05-29
Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
Posted on: 4/14/05
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05-28
NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports
Posted on: 4/14/05
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05-27
NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period;
Comment Period Expired May 27, 2005
Posted on: 4/13/05
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05-26
NASD Recommends Best Practices for Reviewing New Products
Posted on: 4/6/05
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05-25
NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements;
Comment Period Expired May 20, 2005
Posted on: 4/6/05
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05-24
NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports
Posted on: 4/4/05
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Disciplinary and Other NASD Actions
Posted on: 4/15/05
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March 2005 |
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05-23
NASD Issues Further Guidance on the Trading Activity Fee
Please note that the Trading Activity Fee Self-Reporting Form was updated 10/10/07.
Posted on: 3/31/05
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05-22
New Electronic Reporting Requirements for Large Options Positions Reports for Filing of Reportable Conventional Options Positions
Effective Date Extended to July 11, 2005.
Posted on: 3/18/05
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05-21
NASD Requests Comment on Proposed Rule Requiring Members to Provide Additional Disclosures for Transactions in Debt Securities;
Comment Period Expired April 19
Posted on: 3/18/05
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05-20
NASD Announces Effective Date of April 4, 2005 for Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements;
Effective Date: April 4, 2005
Posted on: 3/11/05
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05-19
Revisions to the Series 11 and 55 Examination Programs;
Implementation Date: April 29, 2005
Posted on: 3/11/05
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05-18
NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Posted on: 3/2/05
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05-17
NASD Adopts New Sanction Guidelines;
Effective Date: March 15, 2005
Posted on: 3/1/05
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Disciplinary and Other NASD Actions
Posted on: 3/15/05
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February 2005 |
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05-16
NASD Announces Election Results for the District Committee for District 10
Posted on: 2/22/05
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05-15
NASD Announces Election Results for the District Committee for District 1
Posted on: 2/22/05
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05-14
NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
Posted on: 2/17/05
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05-13
NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
Posted on: 2/11/05
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05-12
SEC Approves Amendments to Rule 9522 Regarding Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities;
Effective Date: March 7, 2005
Posted on: 2/7/05
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05-11
NASD Issues Further Guidance Regarding Members' Obligations under Section 3 of Schedule A to the NASD By-Laws; NASD Also Seeks Member Comment on Related Automation Issues;
Comment Period Expired March 30, 2005
Posted on: 2/4/05
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Disciplinary and Other NASD Actions
Posted on: 2/15/05
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January 2005 |
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05-10
NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims;
Effective Date: May 1, 2005
Posted on: 1/31/05
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05-09
NASD Amends Rule Governing Predispute Arbitration Agreements with Customers;
The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf
Effective Date: May 1, 2005
Posted on: 1/31/05
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05-08
Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities
Posted on: 1/28/05
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05-07
SEC Approves Amendments to Rule 2212 Concerning Frequency of Updates From the National Do-Not-Call Registry;
Effective Date: March 1, 2005
Posted on: 1/28/05
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05-06
Exemption for Delta Neutral Positions of OTC Derivatives Dealers;
Effective Date: February 28, 2005
Posted on: 1/27/05
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05-05
NASD Eliminates the TRACE Bond Transaction Data Service (BTDS) Non-Professional Real-Time Data Display Fee and the BTDS Professional Delayed-Time Data Display Fee Pilot Program
Posted on: 1/25/05
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05-04
SEC Approves Amendments to NASD Rule 2830(k) to Strengthen Prohibitions on Investment Company Directed Brokerage Arrangements;
Effective Date: February 14, 2005
Posted on: 1/14/05
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05-03
NASD Provides Updated Options Exemption Listing for the Trading Activity Fee
Posted on: 1/7/05
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05-02
Stage Two of the Expansion of Dissemination of TRACE Transaction Data to Begin on February 7, 2005 Instead of February 1, 2005
Posted on: 1/4/05
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05-01
Final Renewal Statements and Reports
Posted on: 1/3/05
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Disciplinary and Other NASD Actions
Posted on: 1/18/05
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