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 01-26 | SEC Approves Proposed Rule Change Relating To Day-Trading Margin Requirements
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| Notice to Members 01-25 | SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
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| Notice to Members 01-24 | SEC Approves Proposed Changes To Rule 2330(f)(2) Relating To Performance Fees
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| Notice to Members 01-23 | Suitability Rule And Online Communications
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| Notice to Members 01-22 | NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
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| For Your Information - March 2001 | For Your Information (March)
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| Notice to Members FYI March 2001 | For Your Information
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| Notice to Members 01-21 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 22, 2001
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| Notice to Members 01-20 | Nasdaq Announces Decimalization Rule Changes
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| Notice to Members 01-19 | SEC Approves Trade Reporting For PORTAL Securities
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| Notice to Members 01-18 | SEC Approves Rules To Require Fixed Income Transaction Reporting And Dissemination
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| Notice to Members 01-17 | Web CRD E-Mail Notifications Regarding Regulatory Element Requirements And Notifications Of CE Inactive Registered Persons
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| For Your Information - February 2001 | For Your Information (February)
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| Notice to Members FYI February 2001 | For Your Information
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| Notice to Members 01-15 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 26, 2000
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| Notice to Members 01-14 | SEC Approves Revision To Membership And Registration Rule 1120 — Continuing Education Requirements — Permitting In-Firm Delivery
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| Notice to Members 01-12 | Nasdaq Announces Additional Decimalization Pilot Phase For March 26, 2001
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| Notice to Members 01-16 | Member Obligations To Provide Statistical Information About Order Executions Under Rule 11Ac1-5 of the Securities Exchange Act of 1934 (The SEC extended by 30 days the compliance date for the first phase-in of securities)
The SEC extended by 30 days (from April 2, 2001 to May 1, 2001) the compliance date for the first phase-in of securities subject to the Rule. The SEC also issued interpretive guidance for the Rule and granted certain exemptions, including an additional extension of time for certain smaller market centers that contract with a vendor to provide the necessary reporting services. See below for a listing of associated documents. |
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| Notice to Members 01-13 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Notice to Members 01-11 | Relating To Cash And Margin Treatment For Certain Types Of Options Positions
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| Notice to Members 01-10 | Trade Date — Settlement Date Schedule
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| Notice to Members 01-09 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of November 27, 2000
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| Notice to Members 01-08 | NASD Adopts Amendments To Customer Account Statement Rule
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| Notice to Members 01-07 | Important Reminders About Web CRD Notification Of Regulatory Element Continuing Education Requirements And Inactive Registered Persons
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| Notice to Members 01-06 | NASD Regulation Requests Comment On Member Facilitation Of Lending Between Customers
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| Notice to Members 01-05 | Nasdaq Announces Additional Decimalization Testing Dates
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| Notice to Members 01-04 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Notice to Members 01-03 | SEC Approves Early Expiration Of Large And Complex Cases Rule
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| Notice to Members 01-02 | 2001 Renewal Rosters And Final Renewal Statements
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| Notice to Members 01-01 | SEC Approves Proposed Changes To NASD Rule 2860
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| Notice to Members 00-90 | Mail Vote — NASD Solicits Vote On Amendments To The NASD By-Laws On Selected Corporate Governance Issues (Note: Only NASD member Executive Representatives are allowed to vote)
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice. |
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| For Your Information - December 2000 | For Your Information (December)
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| For Your Information - December 2000 | For Your Information (December)
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| Notice to Members 2000 | For Your Information
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| Notice to Members 00-89 | NASD 2001 Holiday Schedule
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| Notice to Members 00-88 | Trade Date — Settlement Date Schedule For 2001
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| Notice to Members 00-87 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of November 22, 2000
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| Notice to Members 00-86 | Review Of Decimalization Testing
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| Notice to Members 00-85 | NASD To Deduct Delinquent Corporate Financing Filing Fees From CRD Account
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| Notice to Members 00-84 | NASD Regulation Requests Comment On A Proposed Amendment To NASD Rule 2320(g) To Exclude Certain Transactions In Foreign Securities
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