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Recent News for 2002

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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
   Date posted: 12/26/2002
2. AMEX Notice
   Tax Switching Transactions
   Date posted: 12/23/2002
3. NASAA Statement
   Global Settlement of Issues of Conflict of Interest at Brokerage Firms
   Date posted: 12/20/2002
4. NYSE Information Mem 02-61
   NYSE Guidelines on Gifts and Gratuities
   Date posted: 12/19/2002
5. NYSE Information Memo 02-58
   Temporary Moratorium on Information Requests Under Section 314 of The USA Patriot Act
   Date posted: 12/17/2002
6. SEC Proposed Rule
   Broker-Dealer Exemption from Sending Certain Financial Information to Customers
   Date posted: 11/27/2002
7. SEC Proposed Rule
   Certain Research and Development Companies
   Date posted: 11/27/2002
8. NYSE Information Memo 02-54
   Enhancements to Electronic Filing Platform (EFP) Branch Office Application System
   Date posted: 11/26/2002
9. NYSE Information Memo 02-53
   Waiver of Californial Ethics Standards for Neutral Arbitrators
   Date posted: 11/21/2002
10. SEC Proposed Rule
    Retention of Records Relevant to Audits and Reviews
    Date posted: 11/21/2002
11. NYSE Information Memo 02-52
    New Forms U-4 and U-5 Filing Procedures through Web CRD
    Date posted: 11/18/2002
12. NYSE Information Memo 02-51
    Recognition of Series 24 Examination
    Date posted: 11/12/2002
13. NYSE Information Memo 02-50
    Continuing Education - Firm Element Advisory
    Date posted: 11/8/2002
14. NYSE Information Memo 02-49
    Continuing Education - Regulatory Element In-Firm Delivery Proctor Registration
    Date posted: 11/8/2002
15. SEC Proposed Rule
    Conditions for Use of Non-GAAP Financial Measures
    Date posted: 11/5/2002
16. SEC Proposed Rule
    Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments
    Date posted: 11/4/2002
17. AMEX Notice
    Gratuities - Rules 347 and 417
    Date posted: 11/1/2002
18. NASD Notice to Members 02-78
    Anit-Money Laundering Compliance Programs
    Date posted: 11/1/2002
19. NASD Notice to Members 02-77
    SEC Approves Rule Establishing New Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
    Date posted: 11/1/2002
20. SEC Proposed Rule
    Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
    Date posted: 10/22/2002
21. NASD Notice to Members 02-70
    Continuing Education - Firm Element Advisory
    Date posted: 10/17/2002
22. NASD Notice to Members 02-68
    SEC Approves Rule Change to IM-10100
    Date posted: 10/1/2002
23. NASD Notice to Members 02-61
    Taping Rule
    Date posted: 9/12/2002
24. NASD Notice to Members 02-58
    New Default Procedures Rule
    Date posted: 9/11/2002
25. SEC Notice
    Notice of Filing of Proposed Rule Change by the NASD Relating to Business Continuity Plans and Emergency Contact Information
    Date posted: 9/10/2002

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