2003 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.

 

12/16/03   Member Alert: Testing & Continuing Education Adds 202 Additional Domestic Delivery Locations - 12/16/03
12/1/03   Member Alert: Further Extension of Current SEC Section 31 Fee Rate - 12/1/03
10/6/03   Member Alert: Extension of Current SEC Section 31 Fee Rate - 10/6/03
9/23/03   Member Alert: OATS Phase 3 Firms: Compliance Check - 9/23/03
8/6/03   Member Alert: SEC Order Concerning Broker/Dealer Financial Statement Requirements under Section 17 of the Exchange Act - 8/6/03
7/30/03   Member Alert: Members to Notify Customers Regarding Changes in Excess SIPC Coverage - 7/30/03
7/24/03   Member Alert: Department of Market Regulation No-Action Letter on Recording Certain Broker/Dealer Expenses and Liabilities - 7/24/03
4/16/03   Member Alert: Important Notice from the Department of Homeland Security Regarding an Ongoing Scam - 4/16/03
3/3/03   Member Alert: SEC Mid-Year Adjustment to Section 31 Fee Rate - Multiple Rate Changes Effective 3/22/03 and 4/1/03
2/24/03   Member Alert: SEC Mid-Year Adjustment to Section 31 Fee Rate - 2/24/03
2/14/03   Member Alert: Treasury and FinCEN Lift Moratorium on Information Requests under Section 314(a) of the PATRIOT Act - 2/14/03