Advertising Regulation Notices

Date of Pubsort ascending Title Description
Jan 7, 2005 Notice to Members 05-03
NASD Provides Updated Options Exemption Listing for the Trading Activity Fee
Dec 8, 2004 Notice to Members 04-89
NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
Nov 16, 2004 Notice to Members 04-86
SEC approves NASD Interpretive Material to Rule 2210 regarding member firms' use of investment analysis tools
Effective Date: February 14, 2005
Nov 10, 2004 Notice to Members 04-81
SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts
Compliance Date: NoLater Than August 2, 2005
Oct 5, 2004 Notice to Members 04-72
Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
Oct 4, 2004 Notice to Members 04-71
SEC Approves New Rules and Rule SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls
Effective Date: January 31, 2005
Aug 24, 2004 Notice to Members 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
Jun 9, 2004 Notice to Members 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 Expired August 9, 2004
Mar 30, 2004 Notice to Members 04-26
NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
Mar 9, 2004 Notice to Members 04-18
NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
Mar 2, 2004 Notice to Members 04-15
SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry
Effective Date: March 31, 2004
Sep 5, 2003 Notice to Members 03-50
NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
Sep 5, 2003 Notice to Members 03-49
NASD Requests Comment on Proposed Amendments to Rule 3010 to Require Heightened Supervision Plans for Associated Persons with a Specified Threshold of Industry/Regulatory-Related Events
Note: The comment period has been extended to October 31, 2003.
Aug 28, 2003 Notice to Members 03-48
SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
Aug 3, 2003 Notice to Members 03-44
SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of Interest
Jul 7, 2003 Notice to Members 03-38
SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
Jul 1, 2003 Notice to Members 03-37
New Series 23 Examination
Effective Date: July 7, 2003
Jun 18, 2003 Notice to Members 03-33
Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Mar 24, 2003 Notice to Members 03-17
Sales Material for Municipal Fund Securities
Oct 24, 2002 Notice to Members 02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures
Effective Date: October 15, 2002
Oct 17, 2002 Notice to Members 02-69
Clarification of Member Obligations Regarding Brokered Certificates of Deposit
Effective Date: October 8, 2002
Sep 11, 2002 Notice to Members 02-57
Use of Negative Response Letters for the Bulk Transfer of Customer Accounts
Aug 21, 2002 Notice to Members 02-52
NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition")
Comment Period Expired October 21, 2002
Aug 15, 2002 Notice to Members 02-51
NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools
Comment Period Expired October 1, 2002
Jun 26, 2002 Notice to Members 02-39
SEC Approves Rule Governing Research Analysts Conflicts of Interest

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