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 ( This Notice discusses the specifics of the SEC's Year 2000 amendment.

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