Advertising Regulation Notices

Date of Pubsort descending Title Description
Jul 1, 1996 Notice to Members 96-50
Supervisory and Other Obligations Related to Use of Electronic Media
Sep 1, 1996 Notice to Members 96-60
Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities
Dec 1, 1996 Notice to Members 96-86
NASD Notice to Members 96-86 - December 1996
Dec 1, 1996 Notice to Members 96-82
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence
Comment Period Expires January 30, 1997
Jan 1, 1997 Notice to Members 97-01
Approval of Telemarketing Amendments
May 1, 1997 Notice to Members 97-27
Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
Jan 1, 1998 Notice to Members 98-11
SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence
Effective February 15, 1998
Jan 1, 1998 Notice to Members 98-03
Electronic Delivery of Information Between Members and Their Customers
May 1, 1998 Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Oct 1, 1998 Notice to Members 98-83
SEC Approves Rule Change Relating to Standards for Individual Correspondence
Effective November 16, 1998
Dec 1, 1998 Notice to Members 98-107
NASD Reminds Members of Their Obligations to Disclose Mutual Fund Fees
Dec 1, 1998 Notice to Members 98-97
Notice of Increase in Advertising Review Fees
Jan 1, 1999 Notice to Members 99-03
SEC Approves Rule Amendments Requiring Review of Incoming, Written Correspondence
Effective March 15, 1999
Feb 1, 1999 Notice to Members 99-11
NASD Regulation Issues Guidance Regarding Stock Volatility
Feb 1, 1999 Notice to Members 99-16
SEC Approves Changes to Rules Regarding Membership and Registration; Investigation and Sanctions; and Conduct and Code of Procedure
May 1, 1999 Notice to Members 99-35
The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities
Apr 10, 2000 Notice to Members 00-23
SEC Approves New Rules Relating to Bond Mutual Fund Volatility Ratings
Apr 10, 2000 Notice to Members 00-21
NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
Jun 16, 2000 Notice to Members 00-44
NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
Sep 11, 2000 Notice to Members 00-61
SEC Approves Day-Trading Rules
Effective Date: October 16, 2000
Jul 2, 2001 Notice to Members 01-45
NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public
Comment Period Expired August 15, 2001
Sep 10, 2001 Notice to Members 01-58
Rules Relating to Bond Mutual Fund Volatility Ratings Extended Two Years
May 8, 2002 Notice to Members 02-28
Member Obligations Regarding Long-Term or Brokered Certificates of Deposit
Note: This Notice is superseded by Notice to Members 02-69.
Jun 11, 2002 Notice to Members 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
Jun 26, 2002 Notice to Members 02-39
SEC Approves Rule Governing Research Analysts Conflicts of Interest

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