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Recent News for 2006

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1. NASD Notice to Members 06-72
   Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing; Revised Effective Date: May 31, 2007
   Date posted: 12/22/2006
2. NYSE Information Memo 06-86
   Amendments to NYSE Rules 431 And 726 That Expand Customer Portfolio Margining
   Date posted: 12/22/2006
3. NYSE Information Memo 06-85
   Amendment to Rule 607 Concerning The Random List Selection Method of Arbitrator Appointment
   Date posted: 12/22/2006
4. NYSE Information Memo 06-84
   Prohibition Against Pre-Arranged Trading
   Date posted: 12/22/2006
5. NYSE Information Memo 06-87
   SIPC Information for Customers
   Date posted: 12/22/2006
6. AMEX Notice Reg 2006-63
   REG 2006-63: AEMI - Selected Regulatory Matters - UPDATED
   Date posted: 12/20/2006
7. NASD Notice to Members 06-71
   Clarification of Exemption for Market Makers Acting in the Capacity of Exchange Market Maker and Interpretive Guidance Relating to Riskless Principal Transactions
   Date posted: 12/20/2006
8. SEC Final Rule 33-8760
   Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
   Date posted: 12/18/2006
9. NASD Notice to Members 06-69
   NASD Issues Additional Guidance on Rule 3060 (Influencing or Rewarding Employees of Others)
   Date posted: 12/5/2006
10. NASD Notice to Members 06-68
    SEC Approves Amendments to Rule 2340 to Allow DVP/RVP Customers to Elect Not to Receive Account Statements
    Date posted: 12/1/2006
11. NYSE Information Memo 06-80
    Permitting DVP/RVP Customers to Opt Out of Receiving Statements
    Date posted: 12/1/2006
12. MSRB Notice 2006-33
    Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention
    Date posted: 11/27/2006
13. NASD Notice to Members 06-65
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Executive Summary
    Date posted: 11/20/2006
14. NASD Notice to Members 06-64
    SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
    Date posted: 11/20/2006
15. MSRB Notice 2006-31
    RTRS Educational Conference Calls
    Date posted: 11/15/2006
16. NASD Notice to Members 06-63
    Amendments to Registration Rules Extending the Date by which Eligible Registrants must Complete Continuing Education Program before Engaging in Security Futures Activities; Effective Date: November 15, 2006
    Date posted: 11/14/2006
17. NYSE Information Memo 06-78
    Continuing Education 2006 Firm Element Advisory
    Date posted: 11/14/2006
18. NASD Notice to Members 06-61
    SEC Approves Rule 3170 Requiring Members to Electronically File with or Otherwise Submit to NASD Specified Regulatory Notices or Other Documents; Effective Date: December 6, 2006 -- NASD Advises Firms That Certain Notices Required under the Securities Exchange Act of 1934 Must Be Filed Electronically Starting on January 1, 2007
    Date posted: 11/7/2006
19. SEC Final Notice - Amendments To The Tender Offer Best-Price Rules Agency
    Amendments To The Tender Offer Best-Price Rules Agency
    Date posted: 11/6/2006
20. AMEX Notice – REG 2006-56
    REG 2006-56: Elimination of Post-Trade Allocation Rule in ANTE
    Date posted: 10/31/2006
21. NYSE Information Memo 06-76
    Statutory Disqualifications This Memorandum May Require Action By Member Organizations
    Date posted: 10/27/2006
22. MSRB Notice 2006-28
    Amendments Approved to Rule G-14 RTRS Procedures Relating to “List Offering Price” and “Takedown” Transactions
    Date posted: 10/19/2006
23. NASD Notice to Members 06-60
    SEC Approves Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing; Effective Date: March 6, 2007
    Date posted: 10/17/2006
24. NASD Notice to Members 06-58
    SEC Approves Amendments to Rule 2320(a) Regarding Best Execution and New Interpretive Material 2320; Effective Date: November 8, 2006
    Date posted: 10/10/2006
25. NASD Notice to Members 06-56
    SEC Approves Amendments to the Safe Harbor for Business Expansions; Effective Date: November 3, 2006
    Date posted: 10/4/2006

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