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 02-09 | NASD Seeks Member Comment On Proposed Changes To NASD's Regulatory Fee
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| Notice to Members 02-08 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of November 28, 2001
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| Notice to Members 02-07 | NASD Regulation Adopts Interpretive Material Prohibiting Interference With The Transfer Of Customer Accounts In The Context Of Employment Disputes
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| Notice to Members 02-06 | Trade Date — Settlement Date Schedule For Martin Luther King Day And Presidents' Day
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| Notice to Members 02-05 | Changes To FOCUS Resulting From Certain Disclosure And Asset Recognition Requirements Under FASB 140
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| Notice to Members 02-04 | NASD Regulation Asks Members Immediately To Adopt "Best Practice" Of Requiring Investors To Sign A Disclosure Document As Part Of Subordination Agreement
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| Notice to Members 02-03 | 2002 Renewal Rosters And Final Renewal Statements
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| Notice to Members 02-02 | Effective Date For New Series 6 Program Regulatory Element (S106) For Investment Representatives
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| Notice to Members 02-01 | Rule Proposal Regarding Nasdaq Separation And The Alternative Display Facility
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| Notice to Members 01-85 | Guidance on Compensation and Mixed Capacity Trading
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| Notice to Members 01-84 | SEC Approves NASD Rule Proposal Requiring Member Clearing And Self-Clearing Firms To Report Prescribed Data
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| For Your Information - December 2001 | For Your Information (December)
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| Notice to Members FYI December 2001 | For Your Information
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| Notice to Members 01-83 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of October 21, 2001
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| Notice to Members 01-82 | Trade Date — Settlement Date For 2002
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| Notice to Members 01-81 | NASD Provides Interpretive Guidance On The Conduct Of Business Abroad
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| Notice to Members 01-79 | NASD Reminds Members Of Their Responsibilities Regarding Private Securities Transactions Involving Notes And Other Securities And Outside Business Activities
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| Notice to Members 01-78 | NASD Regulation Office Of General Counsel Announces The Publication Of The Disciplinary Update
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| Notice to Members 01-80 | Amendments To Broker/Dealer Books And Records Rules Under The Securities Exchange Act Of 1934
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| For Your Information - November 2001 | For Your Information (November)
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| Notice to Members FYI November 2001 | For Your Information
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| Notice to Members 01-77 | Trade Date — Settlement Date Schedule For Veterans' Day, Thanksgiving, Christmas, And New Year's Day
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| Notice to Members 01-76 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of September 24, 2001
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| Notice to Members 01-75 | Broker/Dealer, Investment Adviser, And Agent Renewals For 2002
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| Notice to Members 01-74 | Securities Industry/Regulatory Council On Continuing Education Announces Continuing Education Web Site
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| Notice to Members 01-73 | Amendment To The Policy For Granting Foreign Deferrals Of The Regulatory Element - New VUE Center In Singapore
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| Notice to Members 01-72 | Securities Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
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| Notice to Members 01-71 | Content Outline For New Series 6 Program Regulatory Element (S106) For Investment Representatives
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| Notice to Members 01-70 | SEC Approves Increases To Member Surcharges And Process Fees In NASD Arbitration Proceedings, And Other Amendments To Fee-Related Provisions Of The NASD Code of Arbitration Procedure
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| Notice to Members 01-69 | Nominees For District Committee And District Nominating Committee
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| Notice to Members 01-68 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of August 21, 2001
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| Notice to Members 01-67 | Executive Order Targeting Terrorists
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| Notice to Members 01-66 | SEC Approves NASD Rule Proposal Relating to Operations
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| Notice to Members 01-65 | NASD Seeks Comment On Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository
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| Notice to Members 01-64 | NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
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| Notice to Members 01-63 | SEC Approves New Rule Relating To The Application Of NASD Rules And Interpretive Materials To Exempted Securities
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| For Your Information - September 2001 | For Your Information (September)
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| Notice to Members FYI September 2001 | For Your Information
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| Notice to Members 01-62 | Columbus Day: Trade Date — Settlement Date Schedule
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| Notice to Members 01-61 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of July 20, 2001
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