Notices

Notice to Members 06-14
SEC Approves Amendments to the Short Interest Reporting Requirements
Tuesday, April 04, 2006
Notice to Members 06-15
SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules; NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface
Wednesday, April 05, 2006
Notice to Members 06-16
NASD Amends Rule 1013 to Adopt a Standardized Application Form (Form NMA) to be Used by All New Member Applicants;
Thursday, April 20, 2006
Notice to Members 06-17
NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules
Friday, April 21, 2006
Notice to Members 06-18
SEC Division of Market Regulation Issues Interpretive Guidance Regarding Regulation SHO Close-Out Requirements; Effective Date: May 1, 2006
Tuesday, April 25, 2006
Notice to Members 06-19
SEC Approves New Rule 3380, Order Entry and Execution Practices; Effective Date: May 25, 2006
Tuesday, April 25, 2006
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
Notice to Members 06-29
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Monday, June 19, 2006
Notice to Members 06-31
NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Wednesday, June 28, 2006
Notice to Members 06-32
NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available
Wednesday, June 28, 2006
Notice to Members 06-33
Frequently Asked Questions regarding Electronic Blue Sheet Submissions; Remediation Dates Extended
Friday, June 30, 2006
Notice to Members 06-34
Technical Changes in the Reporting of Statistical and Summary Information Regarding Customer Complaints and Disclosure Events pursuant to Rule 3070
Wednesday, July 12, 2006
Notice to Members 06-35
Revisions to the Series 22, 27, 28, 39 and 55 Examination Programs
Friday, July 14, 2006
Notice to Members 06-36
NASD and NYSE Joint Interpretive Guidance on Fixed Income Research
Monday, July 31, 2006
Notice to Members 06-37
Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker
Tuesday, August 01, 2006
Notice to Members 06-38
Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
Wednesday, August 09, 2006