1. NASD Notices to Members 03-76

    NASD seeks comment on enhanced access to NASD BrokerCheck

    12/8/2003

  2. SEC Proposed Rule

    Proposed Amendments to the Rules of Practice and Related Provisions

    11/26/2003

  3. SEC Final Rule

    Broker-Dealer Exemption From Sending Certain Financial Information to Customers

    11/15/2003

  4. SEC Notice

    Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange

    11/6/2003

  5. NASD Notices to Members 03-68

    Fee-Based Compensation

    11/5/2003

  6. SEC Notice

    NASD & NYSE Rulemaking: Relating to Corporate Governance

    11/5/2003

  7. NASD Notice to Members 03-63

    Expense-Sharing Agreements

    10/29/2003

  8. NASD Notice to Members 03-65

    Sanction Guidelines

    10/29/2003

  9. NASD Notice to Members 03-62

    Borrowing From and Lending to Customers

    10/9/2003

  10. NASD Notice to Members 03-61

    Broker-Dealer and Investment Adviser Renewal

    10/8/2003

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