Notice to Members 98-63
NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers to File Year 2000 Reports and Releases Year 2000 Survey Results
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register- 63 FR 37667 on July 13, 1998. Complete Rule information is also available on the SEC Web Site (www.sec.gov). This Notice discusses the specifics of the SEC's Year 2000 amendment.
|Date||Title||Format - Size|
|7/1/2015||Notice to Members 98-063 - DEA Submission Guidelines||PDF - 25.9 KB|
|7/1/2015||Notice to Members 98-063 - Form BD-Y2K||PDF - 70.67 KB|
|7/1/2015||Notice to Members 98-063 - Glossary||PDF - 12.98 KB|