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 03-23 | SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
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| Notice to Members FYI April 2003 | For Your Information
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| Notice to Members 03-22 | Dissemination of Additional Corporate Debt Securities Will Begin on April 14, 2003
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| Notice to Members 03-21 | SEC Approves Amendments to NASD Rules Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
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| Notice to Members 03-20 | Technical Changes to the NASD Registration Rules
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| Notice to Members 03-19 | NASD Expands Equity Option Hedge Exemption
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| Notice to Members 03-18 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
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| Notice to Members 03-17 | Sales Material for Municipal Fund Securities
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| For Your Information - March 2003 | For Your Information
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| For Your Information - March 2003 | For Your Information
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| Notice to Members FYI March 2003 | For Your Information
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| Notice to Members 03-16 | SEC Approves New Rule and Rule Amendments Concerning Audit Trail and Trading Halt Requirements for ATSs that Trade Security Futures
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| Notice to Members 03-15 | NASD Adopts Amendments to IM-2260 Regarding Rates of Reimbursement for Expenses Incurred in Forwarding Proxy and Other Material
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| Notice to Members 03-14 | NASD Announces Implementation of Web EFT and Amends Section 9 of Schedule A to the NASD By-Laws Establishing an Annual Subscription Charge for NASD Members That Use Web EFT
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| Notice to Members 03-13 | NASD Reminds Firms about Transaction Reporting Requirements and Announces Enforcement Actions Against Firms for Violations of MSRB Transaction Reporting Rules G-12 and G-14
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| Notice to Members 03-12 | SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More than 4,000 Corporate Debt Securities
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| Notice to Members 03-11 | SEC Approves Changes to Rule on Clearly Erroneous Transactions
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| Notice to Members 03-10 | NASD Establishes Consultative Committees
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| Notice to Members 03-09 | NASD Announces Election Results for District Committees and District Nominating Committees
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| Notice to Members 03-08 | NASD Clarifies the Application of Short Interest Reporting Rule
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| Notice to Members 03-07 | NASD Reminds Members of Obligations When Selling Hedge Funds
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| Notice to Members 03-06 | NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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| Notice to Members 03-05 | 2003 Trade Date Settlement Date Schedule for Martin Luther King Day and President's Day
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| Notice to Members 03-04 | NASD Solicits Vote on Amendments to the NASD By-Laws Concerning the Definition of Disqualification and Failure to Pay Arbitration Awards
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| Notice to Members 03-03 | NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
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| Notice to Members 03-02 | NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
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| Notice to Members 03-01 | 2003 Renewal Reports and Final Renewal Statements
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| Notice to Members 02-85 | NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
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| Notice to Members FYI December 2002 | For Your Information
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| Notice to Members 02-84 | 2003 Trade Date — Settlement Date Schedule
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| Notice to Members 02-83 | NASD to Deduct Unpaid Mediation Filing Fees from CRD Accounts
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| Notice to Members 02-82 | Frequently Asked Questions Relating to Trading Halts
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| Notice to Members 02-81 | NASD Reduces Certain TRACE Fees for the 4th Quarter of 2002
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| Notice to Members 02-80 | Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
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| For Your Information - October 2002 | For Your Information (November)
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| Notice to Members FYI November 2002 | For Your Information
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| Notice to Members 02-79 | NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on November 4)
A proxy package was sent to each NASD Executive Representative on November 4. |
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| Notice to Members 02-78 | NASD Adopts Amendments to Rule 3011 to Require Members to Provide to NASD Contact Information for an Anti-Money Laundering Compliance Person(s)
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| Notice to Members 02-77 | SEC Approves Rule Establishing New Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
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| Notice to Members 02-76 | NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
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