Notices

Notice to Members 06-71
Clarification of Exemption for Market Makers Acting in the Capacity of Exchange Market Maker and Interpretive Guidance Relating to Riskless Principal Transactions
Tuesday, December 19, 2006
Notice to Members 06-72
Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing;
Thursday, December 21, 2006
Notice to Members 06-73
2007 Trade Date-Settlement Date Schedule
Friday, December 29, 2006
Notice to Members 06-74
Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
Friday, December 29, 2006
Notice to Members 07-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
Wednesday, January 03, 2007
Notice to Members 07-02
SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD's Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com
Monday, January 08, 2007
Notice to Members 07-03
NASD Announces SEC Approval of Amendments to Rule 2860 and Issues Guidance Concerning Large Options Position Reports and Aggregation of Certain Positions;
Friday, January 12, 2007
Notice to Members 07-04
Codification of Interpretations to Rule 2711;
Wednesday, January 24, 2007
Notice to Members 07-05
Amendments to the Fees for Filing Offering Documents by Well Known Seasoned Issuers Pursuant to the Corporate Financing Rule
Wednesday, February 07, 2007
Notice to Members 07-06
Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
Tuesday, February 13, 2007
Notice to Members 07-07
SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Thursday, February 15, 2007
Notice to Members 07-08
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Thursday, February 15, 2007
Notice to Members 07-09
SEC Approves Amendments to NASD Rules to Modify and Expand NASD's Authority to Initiate Trading and Quotation Halts in Over-the-Counter (OTC) Equity Securities;
Friday, February 16, 2007
Notice to Members 07-10
SEC Approves Changes to NASD Interpretive Material 8310-2 Regarding the Release of Information through NASD BrokerCheck
Friday, February 16, 2007
Notice to Members 07-11
Amendment to Margin Rules to Establish a Portfolio Margin Pilot Program
Tuesday, February 20, 2007
Notice to Members 06-20
NASD Implements Changes to the Regulation Filing Applications System
Friday, April 28, 2006
Notice to Members 06-21
NASD and NYSE Issue Joint Guidance on Charitable Contributions
Friday, May 05, 2006
Notice to Members 06-22
NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was an Inter-Dealer or a Dealer-Customer Transaction and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller;
Wednesday, May 10, 2006
Notice to Members 06-23
NASD Reminds FINOPs of their Obligations under NASD Rule 1022 and Issues Guidance to FINOPS who Work Part-Time, Work Off-Site or Hold Multiple Registrations
Wednesday, May 17, 2006
Notice to Members 06-24
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Tuesday, May 23, 2006
Notice to Members 06-25
Establishment of Branch Office System Processing Fee and Waiver of Branch Office System Processing Fee and Annual Branch Office Registration Fee For One Branch Office Per Member Per Year
Thursday, May 25, 2006
Notice to Members 06-26
Amendments to Margin Rules to Reflect Additional Complex Option Spread Strategies
Thursday, May 25, 2006
Notice to Members 06-27
SEC Approves Amendments to Rule 6740 Relating to Submission of SEC Rule 15c2-11 Information to NASD
Tuesday, May 30, 2006
Notice to Members 06-28
SEC Approves New Rule 3210 Applying Short Sale Delivery Requirements to Non-Reporting OTC Equity Securities
Friday, June 02, 2006
Notice to Members 06-30
Amendments to the Fee for Extension of Time Requests under Regulation T and SEC Rule 15c3-3;
Friday, June 09, 2006