2001 Member Alerts

Member Alerts were published by NASD prior to consolidation with NYSE Member Regulation in 2007 to address significant issues or trends of general interest to firms. FINRA Notices address such issues.

 

12/28/01   Member Alert: Update: SEC Transaction Fee - 12/28/01
12/27/01   Member Alert: SEC Transaction Fee - 12/27/01
6/29/01   Member Alert: Commemorative Examination Certificates And Plaques - 6/29/01
6/19/01   Member Alert: Stolen and Forged Third Party Checks - 6/19/01