2001 Notices to Members

 
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December 2001

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01-85 Guidance on Compensation and Mixed Capacity Trading
Posted on: 12/24/2001
01-84 SEC Approves NASD Rule Proposal Requiring Member Clearing and Self-Clearing Firms To Report Prescribed Data;
Effective Date: December 10, 2001
Posted on: 12/17/2001
01-83 Fixed Income Pricing System Additions, Changes, and Deletions as of October 21, 2001
Posted on: 12/10/2001
01-82 Trade Date-Settlement Date for 2002
Posted on: 12/10/2001
01-81 NASD Provides Interpretive Guidance on The Conduct of Business Abroad
Posted on: 12/10/2001
01-80 Amendments to Broker/Dealer Books and Records Rules Under the Securities Exchange Act of 1934
Posted on: 12/10/2001
01-79 NASD Reminds Members of Their Responsibilities Regarding Private Securities Transactions Involving Notes and Other Securities and Outside Business Activities
Posted on: 12/10/2001
01-78 NASD Regulation Office of General Counsel Announces the Publication of The Disciplinary Update
Posted on: 12/10/2001
For Your Information
Posted on: 12/10/2001
Disciplinary and Other NASD Actions
Posted on: 12/17/2001
 

November 2001

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01-77 Trade Date-Settlement Date Schedule for Veterans' Day, Thanksgiving, Christmas, and New Year's Day
Posted on: 11/8/2001
01-76 Fixed Income Pricing System Additions, Changes, and Deletions as of September 24, 2001
Posted on: 11/8/2001
01-75 Broker/Dealer, Investment Adviser, and Agent Renewals for 2002; Payment Deadline:
December 7, 2001
Posted on: 11/8/2001
01-74 Securities Industry/Regulatory Council on Continuing Education Announces Continuing Education Web Site
Posted on: 10/31/2001
01-73 Amendment to the Policy for Granting Foreign Deferrals of the Regulatory Element - New VUE Center in Singapore
Posted on: 10/31/2001
01-72 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Posted on: 10/29/2001
01-71 Content Outline for New Series 6 Program Regulatory Element (S106) for Investment Representatives
Posted on: 10/29/2001
01-70 SEC Approves Increases to Member Surcharges and Process Fees in NASD Arbitration Proceedings, and Other Amendments to Fee-Related Provisions of The NASD Code of Arbitration Procedure
Posted on: 10/19/2001
For Your Information
Posted on: 11/8/2001
Disciplinary and Other NASD Actions
Posted on: 11/15/2001
 

October 2001

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01-69 Nominees for District Committee and District Nominating Committee
Posted on: 10/17/2001
01-68 Fixed Income Pricing System Additions, Changes, and Deletions as of August 21, 2001
Posted on: 10/10/2001
01-67 Executive Order Targeting Terrorists
Posted on: 10/10/2001
01-66 SEC Approves NASD Rule Proposal Relating to Operations;
Effective Date: September 12, 2001
Posted on: 10/10/2001
01-65 NASD Seeks Comment on Proposed Rules and Policies Relating to Expungement of Information from the Central Registration Depository;
Comment Period Expired December 31, 2001
Posted on: 10/10/2001
01-64 NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Posted on: 10/3/2001
01-63 SEC Approves New Rule Relating to the Application of NASD Rules and Interpretive Materials to Exempted Securities
Posted on: 9/28/2001
Disciplinary and Other NASD Actions
Posted on: 10/15/2001
 

September 2001

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01-62 Columbus Day: Trade Date-Settlement Date Schedule
Posted on: 9/10/2001
01-61 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 20, 2001
Posted on: 9/10/2001
01-60 New Requirements for Electronic Blue Sheets Submissions
Posted on: 9/10/2001
01-59 NASD Requests Comment on Proposed Rule Amendments to Address Shelf Offerings of Securities;
Comment Period Expired November 15, 2001
Posted on: 9/10/2001
01-58 Rules Relating to Bond Mutual Fund Volatility Ratings Extended Two Years
Posted on: 9/10/2001
For Your Information
Posted on: 9/10/2001
Disciplinary and Other NASD Actions
 

August 2001

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01-57 NASD Announces Nomination Procedures for Regional Industry Member Vacancies on The National Adjudicatory Council;
Nomination Deadline: September 14, 2001
Posted on: 8/14/2001
01-56 Notice Of Meeting and Proxy
(Note: Voting is conducted by NASD member Executive Representatives only through specific voting instructions and proxy cards distributed by mail with print version of this Notice.)
Posted on: 8/10/2001
01-55 Fixed Income Pricing System Additions, Changes, and Deletions as of June 21, 2001
Posted on: 8/10/2001
01-54 SEC Approves Proposed Additions to the List of Rules Appropriate for Disposition as Minor Violations of Rules and for The Establishment of Late Fees for Certain Filings and Reports
Posted on: 8/10/2001
01-53 Procedures Governing the Review and Approval of Subordination Agreements Filed With the NASD
Posted on: 8/10/2001
01-52 SEC Approves NASD Rule Proposal Relating to Registration Requirements for Limited Principals-Financial and Operations and Limited Principals-Introducing Broker/Dealer Financial and Operations;
Effective Date: September 17, 2001
Posted on: 8/10/2001
01-51 SEC Approves NASD Rule Proposal Requiring Registration of Chief Compliance Officers;
Effective Date: January 1, 2002
Posted on: 8/10/2001
01-50 Amendment to the Policy for Granting Foreign Deferrals of the Regulatory Element
Posted on: 8/10/2001
For Your Information
Posted on: 8/10/2001
Disciplinary and Other NASD Actions
Posted on: 8/15/2001
 

July 2001

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01-49 Labor Day: Trade Date-Settlement Date Schedule
Posted on: 7/10/2001
01-48 Fixed Income Pricing System Additions, Changes, and Deletions as of May 21, 2001
Posted on: 7/10/2001
01-47 SEC Approves Rule Change Prohibiting Publication of Quotations or Indications of Interest in a Security During a Trading Halt
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems.
Posted on: 7/10/2001
01-46 SEC Approves Extension Of Limit Order Protection Principles To Certain OTCBB Securities On A Pilot Basis
Posted on: 7/2/2001
01-45 NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public;
Comment Period Expired August 15, 2001
Posted on: 7/2/2001
01-44 SEC Issues Interpretive Guidance Concerning Exchange Act Rules 11Ac1-5 And 11Ac1-6
Posted on: 6/29/2001
For Your Information
Posted on: 7/10/2001
Disciplinary and Other NASD Actions
Posted on: 7/16/2001
 

June 2001

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01-43 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Posted on: 6/18/2001
01-42 Nominees for NASD Board of Governors
Posted on: 6/15/2001
01-41 SEC Approves PORTAL Rule Amendments
Posted on: 6/11/2001
01-40 Fixed Income Pricing System Additions, Changes, and Deletions as of April 23, 2001
Posted on: 6/11/2001
01-39 SEC Approves Proposed Rule Change Establishing a New Limited Registration Category for Private Securities Offerings; Related Qualification Examination (Series 82) is Effective
Posted on: 6/11/2001
01-38 NASD Requests Comment on Proposed Amendments to the Taping Rule;
Comment Period Expired July 25, 2001
Posted on: 6/11/2001
01-37 NASD Regulation Extends Deadline for Delivery of Margin Disclosure Statement to Existing Non-Institutional Customers to
January 31, 2002
Posted on: 5/29/2001
01-36 NASD Regulation Requests Comment on Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer of Customer Accounts;
Comment Period Expired July 6, 2001
Posted on: 5/22/2001
For Your Information
Posted on: 6/11/2001
Disciplinary and Other NASD Actions
Posted on: 6/15/2001
 

May 2001

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01-35 NASD Regulation Requests Comment on Steps that can be taken to Streamline NASD Rules;
Comment Period Expired July 31, 2001
Posted on: 5/18/2001
01-34 Memorial Day: Trade Date-Settlement Date Schedule
Posted on: 5/10/2001
01-33 Fixed Income Pricing System Additions, Changes, and Deletions as of March 22, 2001
Posted on: 5/10/2001
01-32 Series 24, 26, and 62 Modified
Posted on: 5/10/2001
01-31 SEC Approves NASD Rule Proposal Requiring Delivery Of Margin Disclosure Statement To Non-Institutional Customers
Posted on: 5/4/2001
01-30 Member Obligations to Provide Statistical Information About Order Routing Under Rule 11Ac1-6 of the Securities Exchange Act of 1934
Posted on: 5/10/2001
01-29 SEC Approves Amendments to Prohibit Terminated or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers in the NASD Arbitration Forum;
Effective Date: June 11, 2001
Posted on: 5/10/2001
Disciplinary and Other NASD Actions
Posted on: 5/15/2001
 

April 2001

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01-28 Fixed Income Pricing System Additions, Changes, and Deletions as of February 22, 2001
Posted on: 4/10/2001
01-27 NASD Revises Sanction Guidelines
Posted on: 4/10/2001
01-26 SEC Approves Proposed Rule Change Relating to Day-Trading Margin Requirements
Posted on: 3/28/2001
01-25 SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
Posted on: 3/27/2001
01-24 SEC Approves Proposed Changes to Rule 2330(f)(2) Relating to Performance Fees
Posted on: 3/21/2001
01-23 Suitability Rule and Online Communications
Posted on: 3/19/2001
01-22 NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
Posted on: 3/16/2001
Disciplinary and Other NASD Actions
Posted on: 4/16/2001
 

March 2001

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01-21 Fixed Income Pricing System Additions, Changes, and Deletions as of January 22, 2001
Posted on: 3/12/2001
01-20 Nasdaq Announces Decimalization Rule Changes
Posted on: 3/12/2001
01-19 SEC Approves Trade Reporting for PORTAL Securities;
Effective June 16, 2001 for PORTAL Equity Securities
Posted on: 3/12/2001
01-18 SEC Approves Rules to Require Fixed Income Transaction Reporting and Dissemination;
Effective Date: 180 Days After Publication of TRACE Technical Specifications
Posted on: 3/12/2001
01-17 Web CRD Email Notifications Regarding Regulatory Element Requirements and Notifications of CE Inactive Registered Persons
Posted on: 3/12/2001
For Your Information
Posted on: 3/12/2001
Disciplinary and Other NASD Actions
Posted on: 3/15/2001
 

February 2001

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01-16 Member Obligations to Provide Statistical Information About Order Executions Under Rule 11Ac1-5 of the Securities Exchange Act of 1934
The SEC extended by 30 days (from April 2, 2001 to May 1, 2001) the compliance date for the first phase-in of securities subject to the Rule. The SEC also issued interpretive guidance for the Rule and granted certain exemptions, including an additional extension of time for certain smaller market centers that contract with a vendor to provide the necessary reporting services. See below for a listing of associated documents.
Posted on: 2/8/2001
01-15 Fixed Income Pricing System Additions, Changes, and Deletions as of December 26, 2000
Posted on: 2/9/2001
01-14 SEC Approves Revision to Membership and Registration Rule 1120-Continuing Education Requirements-Permitting In-Firm Delivery
Posted on: 2/9/2001
01-13 SEC Approves Amendments to Director's Authority to Remove Arbitrators For Cause;
Effective Date: March 8, 2001
Posted on: 2/6/2001
01-12 Nasdaq Announces Additional Decimalization Pilot Phase for
March 26, 2001
Posted on: 2/9/2001
01-11 SEC Approves Proposed Rule Change Relating to Cash And Margin Treatment for Certain Types of Options Positions
Posted on: 1/25/2001
For Your Information
Posted on: 2/9/2001
Disciplinary and Other NASD Actions
Posted on: 2/15/2001
 

January 2001

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01-10 Trade Date-Settlement Date Schedule
Posted on: 1/10/2001
01-09 Fixed Income Pricing System Additions, Changes, and Deletions as of November 27, 2000
Posted on: 1/10/2001
01-08 NASD Adopts Amendments to Customer Account Statement Rule;
Effective April 16, 2001
Posted on: 1/10/2001
01-07 Important Reminders About Web CRD Notification of Regulatory Element Continuing Education Requirements and Inactive Registered Persons
Posted on: 1/10/2001
01-06 NASD Regulation Requests Comment on Member Facilitation of Lending Between Customers;
Comment Period Expired February 12, 2001
Posted on: 1/10/2001
01-05 Nasdaq Announces Additional Decimalization Testing Dates
Posted on: 1/10/2001
01-04 SEC Approves Amendments to Director's Authority to Remove Arbitrators for Cause;
Effective Date: February 12, 2001 Superseded by NTM 01-13 (eff. March 8, 2001)
Posted on: 1/10/2001
01-03 SEC Approves Early Expiration of Large and Complex Cases Rule;
Effective Date: December 31, 2000
Posted on: 1/10/2001
01-02 2001 Renewal Rosters and Final Renewal Statements
Posted on: 1/10/2001
01-01 SEC Approves Proposed Changes to NASD Rule 2860
Posted on: 1/10/2001
Disciplinary and Other NASD Actions
Posted on: 1/16/2001