1. NYSE Information Memo 01-49

    Exchange Guidelines on Gifts and Gratuities

    12/19/2001

  2. SEC Release

    NYSE Rulemaking: Self-Regulatory Organizations; Order Approving a Proposed Rule Change by the New York Stock Exchange, Inc., Establishing the Fees for NYSE OpenBookTM

    12/12/2001

  3. AMEX Notice

    Gratuities - Rules 347 and 417

    12/7/2001

  4. SEC Final Rule

    Investment Company Names

    12/4/2001

  5. SEC Notice

    Frequently Asked Questions about Rule 35d-1 (Investment Company Names)

    12/4/2001

  6. NYSE Information Memo 01-44

    CRD Fees for NYSE-Only Members and Member Organizations

    12/3/2001

  7. NASD Notice to Members 01-78

    Quarterly Disciplinary Update

    12/1/2001

  8. NASD Notice to Members 01-80

    Books and Records Rules

    12/1/2001

  9. NYSE Information Memo 01-40

    Continuing Education - Firm Element Advisory

    11/21/2001

  10. NYSE Information Memo 01-42

    Additions to the List of Rules Subject to the Imposition of Fines for Minor Violations Under Rule 476A Procedures

    11/21/2001

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