Notices

Information Notice - 10/22/08
FINRA Survey to Update the Series 7 Exam
Wednesday, October 22, 2008
Regulatory Notice 08-61
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
Thursday, October 23, 2008
Regulatory Notice 07-62
Revisions to the Series 23, 24, 42, 55, 62, 72 and 82 Examination Programs
Wednesday, December 12, 2007
Regulatory Notice 08-02
Acceptability of Series 24 Examination under NYSE Rule 342.13
Friday, January 11, 2008
Notice to Members 05-79
Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees
Wednesday, November 16, 2005
Notice to Members 05-19
Revisions to the Series 11 and 55 Examination Programs;
Friday, March 11, 2005
Notice to Members 05-24
NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports
Monday, April 04, 2005
Notice to Members 04-73
Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees; Implementation Date: January 1, 2005
Friday, October 08, 2004
Notice to Members 04-81
SEC Approves New NASD Qualification Requirements forSupervisors of Research Analysts
Wednesday, November 10, 2004
Notice to Members 05-13
NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
Friday, February 11, 2005
Notice to Members 05-14
NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
Thursday, February 17, 2005
Notice to Members FYI September 1998
For Your Information
Tuesday, September 01, 1998
Notice to Members FYI August 1998
For Your Information
Saturday, August 01, 1998
Notice to Members 04-59
SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council;
Wednesday, August 11, 2004
Notice to Members 98-60
NASD Extends Filing Period for New Equity Trader Examination and Responds to Questions Regarding New Equity Trader Qualification Rule
Wednesday, July 01, 1998
Notice to Members 98-17
SEC Approves New NASD Qualification Requirements and Examination for Equity Traders (Series 55)
Sunday, February 01, 1998
Notice to Members 98-16
SEC Approves New Qualification Examination for Government Securities Representatives (Series 72) and New Registration Requirements for Registered Options Representatives (Series 42)
Sunday, February 01, 1998
Notice to Members FYI March 2001
For Your Information
Sunday, March 11, 2001
Notice to Members 99-75
Series 7 Examination Fee Increase Effective
Wednesday, August 18, 1999
Notice to Members - FYI - August 2000
For Your Information
Thursday, August 10, 2000
Notice to Members 2000
For Your Information
Thursday, February 10, 2000
Notice to Members 2000
For Your Information
Monday, January 10, 2000
Notice to Members 01-39
SEC Approves Proposed Rule Change Establishing a New Limited Registration Category for Private Securities Offerings; Related Qualification Examination (Series 82) is Effective
Monday, June 11, 2001
Notice to Members 01-32
Series 24, 26, and 62 Modified
Thursday, May 10, 2001
Notice to Members 02-27
Series 22, 27, 28, 39, 55 and 82 Modified
Wednesday, May 08, 2002