| |
|
January
|
February
|
March
|
April
|
May
|
June
|
July
|
August
|
September
|
October
|
November
|
December
|
| |
| December 2006 |
|
View Full Month's Notices
|
|
06-74
Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
(Notice Posted on: 12/29/06)
|
06-73
2007 Trade Date-Settlement Date Schedule
(Notice Posted on: 12/29/06)
This Notice was updated on 10/12/07 to include the trade date and settlement dates for Veterans Day, and also updated on 10/4/07 to correct the Columbus Day settlement dates for the October 4 and 5 trade dates.
|
06-72
Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing;
Revised Effective Date: May 31, 2007
(Notice Posted on: 12/21/06)
NTM 06-72 supersedes NTM 06-60
|
|
06-71
Clarification of Exemption for Market Makers Acting in the Capacity of Exchange Market Maker and Interpretive Guidance Relating to Riskless Principal Transactions
(Notice Posted on: 12/19/06)
|
06-70
SEC Approves Amendments Expanding the OATS Requirements to OTC Equity Securities and NASD Publishes Revised OATS Reporting Technical Specifications;
Effective Date: June 11, 2007
(Notice Posted on: 12/11/06)
The effective date has been extended to February 4, 2008.
|
|
06-69
NASD Issues Additional Guidance on Rule 3060 (Influencing or Rewarding Employees of Others)
(Notice Posted on: 12/4/06)
|
Disciplinary and Other NASD Actions
(posted on 12/15/06)
|
For Your Information
(posted on 12/12/06)
|
| |
| November 2006 |
|
View Full Month's Notices
|
|
06-68
SEC Approves Amendments to Rule 2340 to Allow DVP/RVP Customers to Elect Not to Receive Account Statements;
Effective Date: November 22, 2006
(Notice Posted on: 11/30/06)
|
06-67
SEC Approves Amendments to NASD Rules to Align Them with Regulation NMS;
Effective Date: Regulation NMS Trading Phase Date, Currently Scheduled to Occur February 5, 2007
(Notice Posted on: 11/28/06)
The SEC has extended the Trading Phase Date to March 5, 2007.
|
|
06-66
NASD Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
(Notice Posted on: 11/22/06)
|
|
06-65
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
(Notice Posted on: 11/15/06)
|
|
06-64
SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators;
Effective Date: January 15, 2007
(Notice Posted on: 11/15/06)
|
|
06-63
Amendments to Registration Rules Extending the Date by which Eligible Registrants must Complete Continuing Education Program before Engaging in Security Futures Activities;
Effective Date: November 15, 2006
(Notice Posted on: 11/13/06)
|
|
06-62
SEC Approves Rule 3160 Regarding Submission and Reporting Requirements for Regulation T and SEC Rule 15c3-3 Extension of Time Requests;
Effective Date: March 1, 2007
(Notice Posted on: 11/13/06)
|
06-61
SEC Approves Rule 3170 Requiring Members to Electronically File with or Otherwise Submit to NASD Specified Regulatory Notices or Other Documents; Effective Date: December 6, 2006
NASD Advises Firms That Certain Notices Required under the Securities Exchange Act of 1934 Must Be Filed Electronically Starting on January 1, 2007
(Notice Posted on: 11/6/06)
|
Disciplinary and Other NASD Actions
(posted on 11/15/06)
|
| |
| October 2006 |
|
View Full Month's Notices
|
06-60
SEC Approves Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing;
Effective Date: March 6, 2007
(Notice Posted on: 10/16/06)
NTM 06-60 has been superseded by NTM 06-72
|
|
06-59
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007;
Payment Deadline: December 8, 2006
(Notice Posted on: 10/10/06)
|
|
06-58
SEC Approves Amendments to Rule 2320(a) Regarding Best Execution and New Interpretive Material 2320;
Effective Date: November 8, 2006
(Notice Posted on: 10/9/06)
|
|
06-57
SEC Approves Exemption to NASD Rule 5100 (Short Sale Rule) for Securities Included in the NASDAQ-100 Index;
Effective Date: October 9, 2006
(Notice Posted on: 10/5/06)
|
|
06-56
SEC Approves Amendments to the Safe Harbor for Business Expansions;
Effective Date: November 3, 2006
(Notice Posted on: 10/3/06)
|
Disciplinary and Other NASD Actions
(posted on 10/16/06)
|
| |
| September 2006 |
|
View Full Month's Notices
|
|
06-55
NASD Revises Sanction Guidelines to Further Address Consideration of a Firm's Size
(Notice Posted on: 9/26/06)
|
|
06-54
Amendments to Option Disclosure Documents Delivery Requirements in Rule 2860;
Implementation Date: October 26, 2006
(Notice Posted on: 9/26/06)
|
|
06-53
Guidance on the Requirements for Availability of Bona Fide Market Making Activity Exception to NASD Rule 5100
(Notice Posted on: 9/25/06)
|
|
06-52
NASD Requests Comment on Proposed Amendments to Rules Governing Conflicts of Interest in Public Offerings of Securities;
Comment Period Expires October 30, 2006
(Notice Posted on: 9/14/06)
|
|
06-51
Amendments to Option Exercise Procedures in Rule 2860;
Effective Date: October 12, 2006
(Notice Posted on: 9/12/06)
|
|
06-50
NASD Reminds Members of Their Obligation to Provide Accurate Information to Services that Disseminate Trading Volume and Trading Interest
(Notice Posted on: 9/8/06)
|
|
06-49
NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
(Notice Posted on: 9/5/06)
|
06-48
SEC Approves Amendments to NASD Rules 2210 and 2211 to Require Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material;
Effective Date: April 1, 2007
(Notice Posted on: 9/1/06)
This Notice has been updated to correct the rule reference at the top of page 4 to 2210(d)(3)(B).
|
|
06-47
SEC Approves New Rule 2441 Requiring Disclosure and Consent When Trading on a Net Basis with Customers;
Effective Date: October 2, 2006
(Notice Posted on: 9/1/06)
|
Disciplinary and Other NASD Actions
(posted on 9/15/06)
|
| |
| August 2006 |
|
View Full Month's Notices
|
|
06-46
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
(Notice Posted on: 8/28/06)
|
|
06-45
SEC Approves Amendments to NASD Rule 2211 to Require Principal Pre-Use Approval of Certain Member Correspondence Sent to 25 or More Existing Retail Customers within a 30 Calendar-Day Period;
Effective Date: December 1, 2006
(Notice Posted on: 8/24/06)
|
06-44
Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker
(Notice Posted on: 8/24/06)
This Notice supersedes Notice to Members 06-37.
|
|
06-43
NASD Announces Nominees for Regional Industry Member Seats on the National Adjudicatory Council
(Notice Posted on: 8/23/06)
|
|
06-42
Pilot Program to Permit Additional Market Participant Identifier Functionality on the Alternative Display Facility
(Notice Posted on: 8/15/06)
|
|
06-41
Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
(Notice Posted on: 8/14/06)
|
|
06-40
Nominees for District Committee and District Nominating Committee
(Notice Posted on: 8/17/06)
|
|
06-39
SEC Approves Amendments Relating to Automated Reporting of Transactions Subject to Regulatory Transaction Fee;
Effective Date: December 1, 2006
(Notice Posted on: 8/11/06)
|
|
06-38
Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
(Notice Posted on: 8/9/06)
|
06-37
Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker
(Notice Posted on: 8/1/06)
This Notice is superseded by Notice to Members 06-44.
|
Disciplinary and Other NASD Actions
(posted on 8/15/06)
|
| |
| July 2006 |
|
View Full Month's Notices
|
|
06-36
NASD and NYSE Joint Interpretive Guidance on Fixed Income Research
(Notice Posted on: 7/31/06)
|
|
06-35
Revisions to the Series 22, 27, 28, 39 and 55 Examination Programs;
Implementation Date: August 15, 2006
(Notice Posted on: 7/14/06)
|
06-34
Technical Changes in the Reporting of Statistical and Summary Information Regarding Customer Complaints and Disclosure Events pursuant to Rule 3070
(Notice Posted on: 7/12/06)
This NTM has been revised to reflect an extension of the effective date to December 15, 2006, and to correct certain non-substantive text.
|
Disciplinary and Other NASD Actions
(posted on 7/17/06)
|
| |
| June 2006 |
|
View Full Month's Notices
|
|
06-33
Frequently Asked Questions regarding Electronic Blue Sheet Submissions; Remediation Dates Extended
(Notice Posted on: 6/30/06)
|
06-32
NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available;
Comment Period Expired July 31, 2006
(Notice Posted on: 6/28/06)
View Comments
The comment period was extended to August 15, 2006.
|
06-31
NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption;
Comment Period Expired July 31, 2006
(Notice Posted on: 6/28/06)
View Comments
The comment period was extended to September 15, 2006.
|
|
06-30
Amendments to the Fee for Extension of Time Requests under Regulation T and SEC Rule 15c3-3;
Effective Date: July 1, 2006
(Notice Posted on: 6/9/06)
|
06-29
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council;
Nomination Deadline: July 17, 2006
(Notice Posted on: 6/19/06)
This Notice has been revised to reflect the new Chair of the Regional Nominating Committee for the New York Region.
|
|
06-28
SEC Approves New Rule 3210 Applying Short Sale Delivery Requirements to Non-Reporting OTC Equity Securities;
Effective Date: July 3, 2006
(Notice Posted on: 6/2/06)
|
Disciplinary and Other NASD Actions
(posted on 6/15/06)
|
| |
| May 2006 |
|
View Full Month's Notices
|
|
06-27
SEC Approves Amendments to Rule 6740 Relating to Submission of SEC Rule 15c2-11 Information to NASD;
Effective Date: June 29, 2006
(Notice Posted on: 5/30/06)
|
|
06-26
Amendments to Margin Rules to Reflect Additional Complex Option Spread Strategies
(Notice Posted on: 5/25/06)
|
06-25
Establishment of Branch Office System Processing Fee and Waiver of Branch Office System Processing Fee and Annual Branch Office Registration Fee For One Branch Office Per Member Per Year;
Effective Date: July 3, 2006
(Notice Posted on: 5/25/06)
This version was updated on 6/5/06.
|
|
06-24
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
(Notice Posted on: 5/23/06)
|
|
06-23
NASD Reminds FINOPs of their Obligations under NASD Rule 1022 and Issues Guidance to FINOPS who Work Part-Time, Work Off-Site or Hold Multiple Registrations
(Notice Posted on: 5/17/06)
|
|
06-22
NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was an Inter-Dealer or a Dealer-Customer Transaction and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller;
Comment Period Expired June 15, 2006
(Notice Posted on: 5/10/06)
View Comments
|
|
06-21
NASD and NYSE Issue Joint Guidance on Charitable Contributions
(Notice Posted on: 5/5/06)
|
Disciplinary and Other NASD Actions
(posted on 5/15/06)
|
| |
| April 2006 |
|
View Full Month's Notices
|
|
06-20
NASD Implements Changes to the Regulation Filing Applications System;
Effective Date: July 3, 2006
(Notice Posted on: 4/28/06)
|
|
06-19
SEC Approves New Rule 3380, Order Entry and Execution Practices; Effective Date: May 25, 2006
(Notice Posted on: 4/25/06)
|
|
06-18
SEC Division of Market Regulation Issues Interpretive Guidance Regarding Regulation SHO Close-Out Requirements; Effective Date: May 1, 2006
(Notice Posted on: 4/25/06)
|
|
06-17
NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules;
Compliance Date: July 10, 2006
(Notice Posted on: 4/21/06)
|
|
06-16
NASD Amends Rule 1013 to Adopt a Standardized Application Form (Form NMA) to be Used by All New Member Applicants;
Implementation Date: May 20, 2006
(Notice Posted on: 4/20/06)
|
|
06-15
SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules; NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface
(Notice Posted on: 4/5/06)
|
|
06-14
SEC Approves Amendments to the Short Interest Reporting Requirements;
Effective Date: July 3, 2006
(Notice Posted on: 4/4/06)
|
Disciplinary and Other NASD Actions
(posted on 4/17/06)
|
| |
| March 2006 |
|
View Full Month's Notices
|
|
06-13
Validation of Electronic Blue Sheet Systems: Intermarket Surveillance Group Requires Validation by March 31, 2006
(Notice Posted on: 3/30/06)
|
|
06-12
Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006 Joint Interpretive Guidance from NASD and the NYSE Relating to Uniform Branch Office Definition Under NASD Rule 3010(g)(2) and NYSE Rule 342.10
Effective Date of Uniform Definition: NASD: July 3, 2006; NYSE: September 9, 2005
(Notice Posted on: 3/22/06)
|
|
06-11
SEC Approves Amendment to NASD Interpretive Material 3013 Regarding Timing of Submission of Report that Evidences Processes to a Member's Board of Directors and Audit Committee;
Effective Date: March 17, 2006
(Notice Posted on: 3/22/06)
|
|
06-10
NASD Revises Sanction Guidelines;
Effective Date: March 31, 2006
(Notice Posted on: 3/7/06)
|
|
06-09
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
(Notice Posted on: 3/2/06)
|
Disciplinary and Other NASD Actions
(posted on 3/15/06)
|
| |
| February 2006 |
|
View Full Month's Notices
|
|
06-08
Amendments Relating to the Status of Persons Serving in the Armed Forces of the United States;
Effective Dates: IM-1000-2(a) and IM-1000-2(b): November 15, 2005; IM-1000-2(c): March 27, 2006
(Notice Posted on: 2/24/06)
|
|
06-07
SEC Approves Amendments to Anti-Money Laundering Compliance Program Rule and Adoption of Interpretive Material;
Effective Date: March 6, 2006
(Notice Posted on: 2/10/06)
|
Disciplinary and Other NASD Actions
(posted on 2/15/06)
|
| |
| January 2006 |
|
View Full Month's Notices
|
06-06
NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment;
Comment Period Expired February 23, 2006
(Notice Posted on: 1/23/06)
View Comments
The comment period was extended to March 3, 2006.
|
|
06-05
SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings;
Effective Date: December 27, 2005
(Notice Posted on: 1/20/06)
|
|
06-04
SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance;
Effective Date: February 14, 2006
(Notice Posted on: 1/13/06)
|
|
06-03
NASD Provides Guidance Regarding New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances;
Effective Date: January 9, 2006
(Notice Posted on: 1/6/06)
|
|
06-02
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006
(Notice Posted on: 1/4/06)
|
|
06-01
SEC Approves Immediate Dissemination of Information on TRACE Transactions;
Effective Date: January 9, 2006
(Notice Posted on: 1/3/06)
|
Disciplinary and Other NASD Actions
(posted on 1/17/06)
|
