Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Notice to Members 04-20 | IPO Distribution Manager to Replace Compliance Desk
Filings Required for All New Issues as Defined in Rule 2790
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| Notice to Members 04-19 | NASD Releases Minor Rule Violation Plan (MRVP) Guidelines
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| Notice to Members 04-18 | NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
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| Notice to Members 04-17 | NASD Revises NASD Sanction Guidelines
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| Notice to Members 04-16 | NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
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| Notice to Members 04-15 | SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry
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| Notice to Members 04-14 | SEC Approves Amendments to Rule Governing Lending Between Registered Persons and Customers
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| Notice to Members 04-13 | SEC Approves Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates-Conflicts of Interest)
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| Notice to Members 04-12 | Change in Policy of Granting Foreign Deferrals to Registered Supervisors and Principals from the Continuing Education Regulatory Element
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| Notice to Members 04-11 | NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
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| Notice to Members 04-10 | SEC Approves Amendments to Membership Application and Continuation Rules (Rules 1011, 1014, and 1017)
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| Notice to Members 04-09 | SEC Announces Immediate Effectiveness of Amendments to Section 4 of Schedule A to the NASD By-Laws
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| Notice to Members 04-08 | Effective Date of Amendments to NASD Rule 3370 (Affirmative Determination Requirements) Extended to April 1, 2004
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| Notice to Members 04-07 | NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text)
Comment Period Expired March 12, 2004
This version corrects certain administrative and other non-substantive text. |
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| Notice to Members 04-06 | SEC Approves Permanent TRACE Fee Structure and Nine-Month Pilot Program for BTDS Professional Delayed-Time Data Display Fee
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| Notice to Members 04-05 | NASD Announces Election Results for District Committees and District Nominating Committees
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| Notice to Members 04-04 | SEC Announces Immediate Effectiveness of Amendments to Section 5 of Schedule A to the NASD By-Laws
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| Notice to Members 04-03 | SEC Approves NASD Rule Proposal Requiring Members to Make Affirmative Determinations for Short Sale Orders Received from Non-Member Broker/Dealers
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| Notice to Members 04-02 | 2004 Renewal Reports and Final Renewal Statements
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| Notice to Members 04-01 | NASD Provides Additional Information Regarding Options Exemption for the Trading Activity Fee
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| For Your Information - December 2003 | For Your Information
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| Notice to Members FYI December 2003 | For Your Information
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| Notice to Members 03-81 | Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
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| Notice to Members 03-80 | NASDAQ Announces New Service Termination Policy
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| Notice to Members 03-79 | SEC Approves New Rule 2790 (Restrictions on the Purchase and Sale of IPOs of Equity Securities)
Replaces Free-Riding and Withholding Interpretation
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| Notice to Members 03-78 | 2004 Trade Date — Settlement Date Schedule (Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005))
Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005). |
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| Notice to Members 03-77 | NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
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| Notice to Members 03-76 | Access to Information Available Under Interpretive Material 8310-2
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| Notice to Members 03-75 | NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on December 2)
A proxy package was sent to each NASD Executive Representative on December 2. |
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| Notice to Members 03-74 | Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
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| Notice to Members 03-73 | NASD Announces Online Availabilty of Comments
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| Notice to Members 03-72 | Request for Comment on Regulatory Approaches to Enhance IPO Pricing Transparency (Note: The comment period has been extended to January 23, 2004)
Note: The comment period has been extended to January 23, 2004. |
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| Notice to Members 03-71 | NASD Reminds Members of Obligations When Selling Non-Conventional Investments
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| Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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| Notice to Members 03-69 | SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
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| Notice to Members 03-68 | NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
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| Notice to Members 03-67 | SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
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| Notice to Members 03-66 | SEC Approves Proposed Changes to NASD Rule 2520
Approves Proposed Changes to NASD Rule 2520 |
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| Notice to Members 03-65 | NASD Revises NASD Sanction Guidelines
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| Notice to Members 03-63 | SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
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