Notices

For Your Information

For Your Information

NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities

Issues Relating to the SEC's Adoption of Regulation SHO

Nominees for the District Committee for District 10

Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD

NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule

NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules

NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity

NASD Notice of Meeting and Proxy

2005 Trade Date–Settlement Date Schedule

SEC Approves NASD Interpretive Material to Rule 2210 Regarding Member Firms' Use of Investment Analysis Tools

SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS

NASD Announces Election Results for District Committees and District Nominating Committees

SEC Approves Adjustments to the Trading Activity Fee

NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)

SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts

NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)

SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements

SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements

SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory

NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005

Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees

Nominees for NASD Board of Governors

Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)

SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls

Mandatory Use of Combined New Order/Route and Combined New Order/Execution Reports Delayed until April 4, 2005

Clarification of Combined Reporting Format Requirements for Related Order Information Submitted by Multiple Order Sending Organizations

SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access

Nominees for District Committee and District Nominating Committee

NASD Reminds Member Firms of Their Obligations to Ensure the Accuracy and Integrity of Information Entered into Order-Routing and Execution Systems

SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements

SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete

New SEC Procedures Relating to Section 31 of the Securities Exchange Act of 1934

SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators

SEC Approves Amendments to Rule 10308 Regarding the Time for Chairperson Selection

SEC Approves Increase to the Arbitrator Panel Training Fee

SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council

SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS) (This version was updated on 8/19/04)