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  1. NYSE Information Memo 02-65

    Amendments to NYSE Arbitration Rules 601, 607, 612, 617, 629, 631, 623, and Extension of Pilot Program Rules 638 and 630

    12/26/2002

  2. AMEX Notice

    Tax Switching Transactions

    12/23/2002

  3. NASAA Statement

    Global Settlement of Issues of Conflict of Interest at Brokerage Firms

    12/20/2002

  4. NYSE Information Mem 02-61

    NYSE Guidelines on Gifts and Gratuities

    12/19/2002

  5. NYSE Information Memo 02-58

    Temporary Moratorium on Information Requests Under Section 314 of The USA Patriot Act

    12/17/2002

  6. SEC Proposed Rule

    Certain Research and Development Companies

    11/27/2002

  7. SEC Proposed Rule

    Broker-Dealer Exemption from Sending Certain Financial Information to Customers

    11/27/2002

  8. NYSE Information Memo 02-54

    Enhancements to Electronic Filing Platform (EFP) Branch Office Application System

    11/26/2002

  9. NYSE Information Memo 02-53

    Waiver of Californial Ethics Standards for Neutral Arbitrators

    11/21/2002

  10. SEC Proposed Rule

    Retention of Records Relevant to Audits and Reviews

    11/21/2002

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