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Recent News for 2003

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1. NASD Notices to Members 03-81
   Continuing Education
   Date posted: 12/31/2003
2. NYSE Information Memo 03-61
   Rule 344 - Research Analyst Qualification Examination Requirement ("Series 86/87")
   Date posted: 12/31/2003
3. NYSE Information Memo 03-60
   Continuing Education Regulatory Element Fee Update
   Date posted: 12/31/2003
4. SEC Notice
   Recordkeeping requirements for Registered Transfer Agents; Final Rule
   Date posted: 12/29/2003
5. 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
   Date posted: 12/23/2003
6. 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.
   Date posted: 12/23/2003
7. SEC Final Rule
   Recordkeeping Requirements for Registered Transfer Agents
   Date posted: 12/19/2003
8. SEC Final Rule
   Processing Requirements for Cancelled Security Certificates
   Date posted: 12/19/2003
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
   Date posted: 12/19/2003
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)
    Date posted: 12/12/2003
11. NASD Notices to Members 03-76
    NASD seeks comment on enhanced access to NASD BrokerCheck
    Date posted: 12/8/2003
12. SEC Proposed Rule
    Proposed Amendments to the Rules of Practice and Related Provisions
    Date posted: 11/26/2003
13. SEC Final Rule
    Broker-Dealer Exemption From Sending Certain Financial Information to Customers
    Date posted: 11/15/2003
14. 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
    Date posted: 11/6/2003
15. NASD Notices to Members 03-68
    Fee-Based Compensation
    Date posted: 11/5/2003
16. SEC Notice
    NASD & NYSE Rulemaking: Relating to Corporate Governance
    Date posted: 11/5/2003
17. NASD Notice to Members 03-65
    Sanction Guidelines
    Date posted: 10/29/2003
18. NASD Notice to Members 03-63
    Expense-Sharing Agreements
    Date posted: 10/29/2003
19. NASD Notice to Members 03-62
    Borrowing From and Lending to Customers
    Date posted: 10/9/2003
20. NASD Notice to Members 03-61
    Broker-Dealer and Investment Adviser Renewal
    Date posted: 10/8/2003
21. NASD Notices to Member 03-57
    Continuing Education
    Date posted: 10/1/2003
22. NASD Notice to Members 03-56
    Forms U4
    Date posted: 9/30/2003
23. SEC Notice - NASD Rulemaking
    NASD Rulemaking re: Business Continuity Plans and Emergency Contact Information
    Date posted: 9/30/2003
24. SEC Notice - NYSE Rulemaking
    NYSE Rulemaking re: Business Continuity and Contingency Planning
    Date posted: 9/26/2003
25. SEC Final Rule
    Adoption of Updated EDGAR Filer Manual
    Date posted: 9/4/2003

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