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2003


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Contents:
For Your Information
03-81 Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
03-80 NASDAQ Announces New Service Termination Policy
03-79 SEC Approves New Rule 2790 (Restrictions on the Purchase and Sale of IPOs of Equity Securities); Replaces Free-Riding and Withholding Interpretation
03-78 2004 Trade Date — Settlement Date Schedule (Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005))
03-77 NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
03-76 Access to Information Available Under Interpretive Material 8310-2
03-75 NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on December 2)
03-74 Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
03-73 NASD Announces Online Availabilty of Comments
03-72 Request for Comment on Regulatory Approaches to Enhance IPO Pricing Transparency (Note: The comment period has been extended to January 23, 2004)
03-71 NASD Reminds Members of Obligations When Selling Non-Conventional Investments
03-70 NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
03-69 SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
03-68 NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
03-67 SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
03-66 SEC Approves Proposed Changes to NASD Rule 2520
03-65 NASD Revises NASD Sanction Guidelines
03-64 New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
03-63 SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
03-62 SEC Approves NASD Rule Proposal To Govern Lending Between Registered Persons and Customers
03-61 Broker/Dealer, Registered Representative, Investment Adviser Firm, and Investment Adviser Representative Renewals for 2004
03-60 Nominees for NASD Board of Governors
03-58 NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
03-57 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
03-56 Rule Amendments to Require Member Applicants to File Forms U4 Electronically
03-55 SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs) (See Nasdaq Head Trader Alert 2003-140)
03-54 NASD Requests Comment on Proposed Amendments to Rule 2830 (Investment Company Securities)
03-53 SEC Announces Immediate Effectiveness of Amendments to Non-Cash Compensation Provisions of Rule 2710 and Rule 2810
03-52 Nominees for District Committee and District Nominating Committee
03-51 Amendments to Article VIII of the By-Laws of NASD Regulation, Inc., Regarding District Committees and District Nominating Committees
03-50 NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
03-49 NASD Requests Comment on Proposed Amendments to Rule 3010 to Require Heightened Supervision Plans for Associated Persons with a Specified Threshold of Industry/Regulatory-Related Events (Note: The comment period has been extended to October 31, 2003)
03-48 SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
03-47 Refunds to Customers Who Did Not Receive Appropriate Breakpoint Discounts in Connection with the Purchase of Class A Shares of Front-End Load Mutual Funds and the Capital Treatment of Refund Liability
03-46 Amendments Relating to Requests for Underwriting Activity Reports
03-45 SEC Approves Amendments to TRACE Rule 6260 to Require New Issue Notifications to Include Dissemination Eligibility Information and Be Submitted in Writing
03-44 SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of Interest
03-43 SEC Approves Increase to the Trading Activity Fee
03-42 SEC Approves Proposed Changes to Forms U4 and U5; Implementation Date: July 14, 2003
03-41 NASD Has Amended Section 4(b) of Schedule A to the NASD By-Laws to Increase and Establish New Fingerprint Processing Fees
03-40 The Regulatory Element Continuing Education Supervisors Program (S201) to be available July 14, 2003, at Pearson VUE centers in London and Paris; the S201 is available now for members that provide In-Firm Delivery of the Regulatory Element.
03-39 NASD Announces Implementation of the First Phase of Electronic Fingerprint Processing in July 2003 and Amends Section 4 of Schedule A to the NASD By-Law to Increase and Establish New Fingerprint Processing Fees (This Notice was withdrawn on 07/09/03)
03-38 SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
03-37 New Series 23 Examination
03-36 SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes
03-35 SEC Approves NASD Rule Change Giving NASD Authority to Issue and Enforce Temporary Cease and Desist Orders
03-34 Treasury and SEC Issue Final Rule Regarding Customer Identification Programs for Broker/Dealers
03-33 Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
03-32 Clarification of NASD Establishment of Consultative Committees
03-31 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
03-30 SEC Approves Revisions to NASD By-Laws Regarding Trading Activity Fee
03-29 NASD Requests Comment on Proposal to Amend Rule 3010 and Adopt Interpretive Material 3010-1
03-28 SEC Approves NASD Rule Proposal Requiring Quotation Recording and Reporting for OTC Equity Securities
03-27 NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
03-26 SEC Approves Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
03-25 Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003; New Waiver Agreement Form
03-24 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
03-23 SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
03-22 Dissemination of Additional Corporate Debt Securities Will Begin on April 14, 2003
03-21 SEC Approves Amendments to NASD Rules Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
03-20 Technical Changes to the NASD Registration Rules
03-19 NASD Expands Equity Option Hedge Exemption
03-18 NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
For Your Information
03-17 Sales Material for Municipal Fund Securities
03-16 SEC Approves New Rule and Rule Amendments Concerning Audit Trail and Trading Halt Requirements for ATSs that Trade Security Futures
03-15 NASD Adopts Amendments to IM-2260 Regarding Rates of Reimbursement for Expenses Incurred in Forwarding Proxy and Other Material
03-14 NASD Announces Implementation of Web EFT and Amends Section 9 of Schedule A to the NASD By-Laws Establishing an Annual Subscription Charge for NASD Members That Use Web EFT
03-13 NASD Reminds Firms about Transaction Reporting Requirements and Announces Enforcement Actions Against Firms for Violations of MSRB Transaction Reporting Rules G-12 and G-14
For Your Information
03-12 SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More than 4,000 Corporate Debt Securities
03-11 SEC Approves Changes to Rule on Clearly Erroneous Transactions
03-10 NASD Establishes Consultative Committees
03-09 NASD Announces Election Results for District Committees and District Nominating Committees
03-08 NASD Clarifies the Application of Short Interest Reporting Rule
03-07 NASD Reminds Members of Obligations When Selling Hedge Funds
03-06 NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
03-05 2003 Trade Date — Settlement Date Schedule for Martin Luther King Day and President's Day
03-04 NASD Solicits Vote on Amendments to the NASD By-Laws Concerning the Definition of Disqualification and Failure to Pay Arbitration Awards
03-03 NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
03-02 NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
03-01 2003 Renewal Reports and Final Renewal Statements