Notices

Labor Day: Trade Date — Settlement Date Schedule

Fixed Income Pricing System Additions, Changes, And Deletions As Of July 20, 2000

SEC Approves Changes To Rule Regarding The Code Of Procedure

NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt

NASD Reminds Members Of Methods For Determining Ex-Dividend Dates

NASD Adopts Exemption From The Corporate Financing Rule For Interval Funds

NASD And Exchanges Submit Decimalization Plan To The SEC

SEC Approves Proposed Rule Change Relating To Margin For Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control And Restricted Securities, And Options Transactions

Withdrawal Of Proposed Rule And Reminder Of Restrictions On Use Of Unregistered Persons

For Your Information (July)

For Your Information

SEC Issues Staff Interpretation On The "Free Trading" Status Of Blank Check Company Securities Under Certain Scenarios

NASD Adopts Rule Requiring Member Participation In Decimalization Testing

NASD Reminds Selected Members Of Survey Deadline: July 28, 2000

Fixed Income Pricing System Additions, Changes, And Deletions As Of June 23, 2000

NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement

NASD Announces Changes To SEC Rule 15c3-3 Extension Request Reason Codes (Correction: On p. 1, the 2nd para under Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, entry of Issue Symbol or CUSIP is required)

The NASD Reminds Members Of Their Responsibilities Regarding The Sale Of Variable Life Insurance

SEC Approves Changes To Transaction Reporting Procedures For Weighted Average And Special Pricing Formula Trades

NASD Regulation, Inc. Reiterates The Obligation Of Member Firms To Comply With Trading Rules, Particularly Immediately Prior To The Close On Expiration Fridays And Index Rebalancing Days

SEC Approves Trade Halt Rule For OTCBB

Independence Day: Trade Date — Settlement Date Schedule

Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 2000

Nasdaq Releases Its Latest Decimalization Testing Schedule

NAC Issues Decision On MSRB Rule G-37 Exemptive Relief

SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board

NASD Regulation Reminds Firms Of CRD Continuing Education Notification Method And Informs Firms To Review Written Supervisory Procedures

NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections

NASD Regulation Adopts New Rule Interpretation To Require Confirmation Disclosure Of Callable Common Stock

SEC Suspends Decimalization Deadline And Requests Comment On Extended Deadline

Fixed Income Pricing System Additions, Changes, And Deletions As Of March 23, 2000

SEC Approves New Systems And Rules Governing Delivery, Negotiation, And Execution Of Orders For Nasdaq National Market Securities

SEC Approves Changes To Nasdaq Locked/Crossed Markets Rule

SEC Approves Use Of Hard To Borrow List To Comply With The Affirmative Determination Requirement For Short Sales (Rule 3370)

Deadline Extended For Series 55 Equity Trader Examination To October 1, 2000

NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information

Memorial Day: Trade Date — Settlement Date Schedule

Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 2000

SEC Approves New Rules Relating To Bond Mutual Fund Volatility Ratings

SEC Approves New Voluntary Single Arbitrator Pilot Program For A Two-Year Period

NASD Regulation Reminds Members Of Their Responsibilities When Advertising Recent Mutual Fund Performance