Advertising Regulation Notices

Date of Pubsort ascending Title Description
Feb 22, 2007 Notice to Members 07-12
NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE
Comment Period Expired March 26, 2007
The comment period was extended to April 9, 2007.
Jan 24, 2007 Notice to Members 07-04
Codification of Interpretations to Rule 2711;
Implementation Date: September 27, 2006
Jan 8, 2007 Notice to Members 07-02
SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD's Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com
Effective Date: July 7, 2007
The effective date has been extended to October 31, 2007.
Sep 1, 2006 Notice to Members 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
This Notice has been updated to correct the rule reference at the top of page 4 to 2210(d)(3)(B).
Aug 24, 2006 Notice to Members 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
Aug 9, 2006 Notice to Members 06-38
Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
Jul 31, 2006 Notice to Members 06-36
NASD and NYSE Joint Interpretive Guidance on Fixed Income Research
Mar 21, 2006 Notice to Members 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
Mar 7, 2006 Notice to Members 06-10
NASD Revises Sanction Guidelines
Effective Date: March 31, 2006
Jan 20, 2006 Notice to Members 06-05
SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
Oct 6, 2005 Notice to Members 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
Oct 6, 2005 Notice to Members 05-67
SEC Approves Uniform Branch Office Definition and Related Interpretive Material
Effective Date: May 1, 2006
Sep 12, 2005 Notice to Members 05-59
NASD Provides Guidance Concerning the Sale of Structured Products
Aug 8, 2005 Notice to Members 05-50
Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities
May 9, 2005 Notice to Members 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
May 3, 2005 Notice to Members 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
Apr 14, 2005 Notice to Members 05-29
Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
Apr 13, 2005 Notice to Members 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
Apr 6, 2005 Notice to Members 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
Apr 4, 2005 Notice to Members 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
Mar 2, 2005 Notice to Members 05-18
NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Mar 1, 2005 Notice to Members 05-17
NASD Adopts New Sanction Guidelines
Effective Date: March 15, 2005
Feb 17, 2005 Notice to Members 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"
Jan 28, 2005 Notice to Members 05-07
SEC Approves Amendments to Rule 2212 Concerning Frequency of Updates From the National Do-Not-Call Registry
Effective Date: March 1, 2005
Jan 28, 2005 Notice to Members 05-08
Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities

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