Notices Notice to Members 03-49NASD Requests Comment on Proposed Amendments to Rule 3010 to Require Heightened Supervision Plans for Associated Persons with a Specified Threshold of Industry/Regulatory-Related EventsFriday, September 05, 2003 Notice to Members 03-48SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility RatingsThursday, August 28, 2003 Notice to Members 03-44SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of InterestSunday, August 03, 2003 Notice to Members 04-18NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of InterestTuesday, March 09, 2004 Notice to Members 03-38SEC Approves Amendments to NASD Rules Governing Member Communications with the PublicMonday, July 07, 2003 Notice to Members 04-26NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)Tuesday, March 30, 2004 Notice to Members 04-45NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities;Wednesday, June 09, 2004 Notice to Members 02-73SEC Approves New Rules and Rule Amendments Concerning Security Futures;Thursday, October 24, 2002 Notice to Members 02-73SEC Approves New Rules and Rule Amendments Concerning Security Futures;Thursday, October 24, 2002 Pagination << First First page < Previous Previous page 1 2 3 4 5 6 7 8
