Notices Regulatory Notice 09-20SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/CoordinationWednesday, April 15, 2009 Regulatory Notice 07-50SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time FramesMonday, October 29, 2007 Notice to Members 04-72Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)Tuesday, October 05, 2004 Notice to Members 04-58SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS);Tuesday, August 10, 2004 Notice to Members 02-07NASD Adopts Interpretive Material Prohibiting Interference with the Transfer of Customer Accounts in the Context of Employment DisputesThursday, January 10, 2002 Notice to Members 01-36NASD Regulation Requests Comment on Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer of Customer AccountsTuesday, May 22, 2001 Notice to Members 02-57Use of Negative Response Letters for the Bulk Transfer of Customer AccountsWednesday, September 11, 2002 Notice to Members 04-47Members' Obligations with Respect to the Transfer of Cost Basis InformationFriday, June 18, 2004
