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2001


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Contents:
01-85 Guidance on Compensation and Mixed Capacity Trading
01-84 SEC Approves NASD Rule Proposal Requiring Member Clearing And Self-Clearing Firms To Report Prescribed Data
01-83 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of October 21, 2001
01-82 Trade Date — Settlement Date For 2002
01-81 NASD Provides Interpretive Guidance On The Conduct Of Business Abroad
01-80 Amendments To Broker/Dealer Books And Records Rules Under The Securities Exchange Act Of 1934
01-79 NASD Reminds Members Of Their Responsibilities Regarding Private Securities Transactions Involving Notes And Other Securities And Outside Business Activities
01-78 NASD Regulation Office Of General Counsel Announces The Publication Of The Disciplinary Update
For Your Information (December)
01-77 Trade Date — Settlement Date Schedule For Veterans' Day, Thanksgiving, Christmas, And New Year's Day
01-76 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of September 24, 2001
01-75 Broker/Dealer, Investment Adviser, And Agent Renewals For 2002
01-74 Securities Industry/Regulatory Council On Continuing Education Announces Continuing Education Web Site
01-73 Amendment To The Policy For Granting Foreign Deferrals Of The Regulatory Element - New VUE Center In Singapore
01-72 Securities Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
01-71 Content Outline For New Series 6 Program Regulatory Element (S106) For Investment Representatives
01-70 SEC Approves Increases To Member Surcharges And Process Fees In NASD Arbitration Proceedings, And Other Amendments To Fee-Related Provisions Of The NASD Code of Arbitration Procedure
For Your Information (November)
01-69 Nominees For District Committee And District Nominating Committee
01-68 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of August 21, 2001
01-67 Executive Order Targeting Terrorists
01-66 SEC Approves NASD Rule Proposal Relating to Operations
01-65 NASD Seeks Comment On Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository
01-64 NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
01-63 SEC Approves New Rule Relating To The Application Of NASD Rules And Interpretive Materials To Exempted Securities
01-62 Columbus Day: Trade Date — Settlement Date Schedule
01-61 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of July 20, 2001
01-60 New Requirements For Electronic Blue Sheets Submissions
01-59 NASD Requests Comment On Proposed Rule Amendments To Address Shelf Offerings Of Securities
01-58 Rules Relating To Bond Mutual Fund Volatility Ratings Extended Two Years
For Your Information (September)
01-57 NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council
01-56 NASD Notice Of Meeting And Proxy
01-55 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of June 21, 2001
01-54 SEC Approves Proposed Additions To The List Of Rules Appropriate For Disposition As Minor Violations Of Rules And For The Establishment Of Late Fees For Certain Filings And Reports
01-53 Procedures Governing The Review And Approval Of Subordination Agreements Filed With The NASD
01-52 SEC Approves NASD Rule Proposal Relating To Registration Requirements For Limited Principals-Financial And Operations And Limited Principals-Introducing Broker/Dealer Financial And Operations
01-51 SEC Approves NASD Rule Proposal Requiring Registration Of Chief Compliance Officers
01-50 Amendment To The Policy For Granting Foreign Deferrals Of The Regulatory Element
For Your Information (August)
01-49 Labor Day: Trade Date — Settlement Date Schedule
01-48 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of May 21, 2001
01-47 SEC Approves Rule Change Prohibiting Publication Of Quotations Or Indications Of Interest In A Security During A Trading Halt (Note: The effective date for amendments to Rule 3340 has been delayed until October 9, 2001)
01-46 SEC Approves Extension Of Limit Order Protection Principles To Certain OTCBB Securities On A Pilot Basis
01-45 NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public
01-44 SEC Issues Interpretive Guidance Concerning Exchange Act Rules 11Ac1-5 And 11Ac1-6
For Your Information (July)
01-43 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
01-42 Nominees For NASD Board Of Governors
01-41 SEC Approves PORTAL Rule Amendments
01-40 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of April 23, 2001
01-39 SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings; Related Qualification Examination (Series 82) Is Effective
01-38 NASD Regulation Requests Comment On Proposed Amendments To The Taping Rule
01-37 NASD Regulation Extends Deadline For Delivery Of Margin Disclosure Statement To Existing Non-Institutional Customers To January 31, 2002
01-36 NASD Regulation, Inc. Requests Comment On Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer Of Customer Accounts
For Your Information (June)
01-35 NASD Regulation Requests Comment On Steps That Can Be Taken To Streamline NASD Rules
01-34 Memorial Day: Trade Date — Settlement Date Schedule
01-33 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of March 22, 2001
01-32 Series 24, 26, And 62 Modified
01-31 SEC Approves NASD Rule Proposal Requiring Delivery Of Margin Disclosure Statement To Non-Institutional Customers
01-30 Member Obligations To Provide Statistical Information About Order Routing Under Rule 11Ac1-6 Of The Securities Exchange Act Of 1934
01-29 SEC Approves Amendments To Prohibit Terminated Or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers In The NASD Arbitration Forum
01-28 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of February 22, 2001
01-27 NASD Revises Sanction Guidelines
01-26 SEC Approves Proposed Rule Change Relating To Day-Trading Margin Requirements
01-25 SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
01-24 SEC Approves Proposed Changes To Rule 2330(f)(2) Relating To Performance Fees
01-23 Suitability Rule And Online Communications
01-22 NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
01-21 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 22, 2001
01-20 Nasdaq Announces Decimalization Rule Changes
01-19 SEC Approves Trade Reporting For PORTAL Securities
01-18 SEC Approves Rules To Require Fixed Income Transaction Reporting And Dissemination
01-17 Web CRD E-Mail Notifications Regarding Regulatory Element Requirements And Notifications Of CE Inactive Registered Persons
For Your Information (March)
01-16 Member Obligations To Provide Statistical Information About Order Executions Under Rule 11Ac1-5 of the Securities Exchange Act of 1934 (The SEC extended by 30 days the compliance date for the first phase-in of securities)
01-15 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 26, 2000
01-14 SEC Approves Revision To Membership And Registration Rule 1120 — Continuing Education Requirements — Permitting In-Firm Delivery
01-13 SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
01-12 Nasdaq Announces Additional Decimalization Pilot Phase For March 26, 2001
01-11 Relating To Cash And Margin Treatment For Certain Types Of Options Positions
For Your Information (February)
01-10 Trade Date — Settlement Date Schedule
01-09 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of November 27, 2000
01-08 NASD Adopts Amendments To Customer Account Statement Rule
01-07 Important Reminders About Web CRD Notification Of Regulatory Element Continuing Education Requirements And Inactive Registered Persons
01-06 NASD Regulation Requests Comment On Member Facilitation Of Lending Between Customers
01-05 Nasdaq Announces Additional Decimalization Testing Dates
01-04 SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
01-03 SEC Approves Early Expiration Of Large And Complex Cases Rule
01-02 2001 Renewal Rosters And Final Renewal Statements
01-01 SEC Approves Proposed Changes To NASD Rule 2860