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NASD Notices to Members 03-81
Continuing Education
12/31/2003
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NYSE Information Memo 03-60
Continuing Education Regulatory Element Fee Update
12/31/2003
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NYSE Information Memo 03-61
Rule 344 - Research Analyst Qualification Examination Requirement ("Series 86/87")
12/31/2003
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SEC Notice
Recordkeeping requirements for Registered Transfer Agents; Final Rule
12/29/2003
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CE Fee Update
Firms are advised that the fee for the Regulatory Element of Continuing Education will be reduced from $65 to $60 effective January 1, 2004.
12/23/2003
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SEC Notice - NASD Rulemaking
NASD Rulemaking: Orders and Notice Relating to Proposed NASD Rule 2130 Concerning the Expungement of Customer Dispute Information From the Central Registration Depository System
12/23/2003
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SEC Final Rule
Recordkeeping Requirements for Registered Transfer Agents
12/19/2003
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SEC Final Rule
Processing Requirements for Cancelled Security Certificates
12/19/2003
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SEC Notice
NYSE Rulemaking: Order Approving Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange
12/19/2003
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SEC Notice
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto by the National Association of Securities Dealers, Inc. Relating to Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
12/12/2003
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