1. NASD Notices to Members 03-81

    Continuing Education


  2. NYSE Information Memo 03-60

    Continuing Education Regulatory Element Fee Update


  3. NYSE Information Memo 03-61

    Rule 344 - Research Analyst Qualification Examination Requirement ("Series 86/87")


  4. SEC Notice

    Recordkeeping requirements for Registered Transfer Agents; Final Rule


  5. 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.


  6. 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


  7. SEC Final Rule

    Recordkeeping Requirements for Registered Transfer Agents


  8. SEC Final Rule

    Processing Requirements for Cancelled Security Certificates


  9. 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


  10. 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)


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