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 90-55 | SIPC Trustee Appointed for Blinder, Robinson & Company, Inc.
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| Notice To Members 90-54 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of July 13, 1990
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| Notice To Members 90-53 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 90-52 | SEC Approval of Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information
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| Notice To Members 90-51 | SEC Approval of Amendment to Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities
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| Notice To Members 90-50 | Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying and Obtaining Approval of Employer Prior to Opening Securities Account With Another Member; Last Date for Comment: September 4, 1990
Last Date for Comment: September 4, 1990
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| Notice To Members 90-49 | SIPC Trustee Appointed for First Ohio Securities Company
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| Notice To Members 90-48 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of June 14, 1990
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| Notice To Members 90-47 | Amendments to Code of Arbitration Procedure
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| Notice To Members 90-46 | Reporting Disciplinary Information on Form BD
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| Notice To Members 90-45 | SEC Approval to Articles II and III of the NASD's Code of Procedure Regarding Board of Governors and Committee Proceedings in Disciplinary Actions, Effective August 1, 1990
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| Notice To Members 90-44 | SEC Approval of Amendment to Code of Procedure Regarding Summary Remedial Proceedings, Effective July 1, 1990
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| Notice To Members 90-43 | Proposed Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events; Last Date for Comment: August 3, 1990
Last Date for Comment: August 3, 1990
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| Notice To Members 90-42 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of May 14, 1990
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| Notice To Members 90-41 | Independence Day: Trade Date-Settlement Date Schedule
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| Notice To Members 90-40 | SEC Approval of an Amendment to Schedule H to the NASD By-Laws Requiring Members to Demonstrate Compliance With Rule 15c2-11 Before Initiating Quotations in a Quotation Medium
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| Notice To Members 90-39 | Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Date for Comment: July 5, 1990
Last Date for Comment: July 5, 1990
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| Notice To Members 90-38 | Proposed Concept for Continuing Assessment of Registered Representatives in the Form of Amendment to Part HI, Section (1)(d) of Schedule C to the NASD By-Laws; Last Date for Comment: July 31, 1990
Last Date for Comment: July 31, 1990
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| Notice To Members 90-37 | Proposed New Rule Re: Handling Customer Limit Orders; Last Voting Date: July 5, 1990
Last Voting Date: July 5, 1990
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| Notice To Members 90-36 | Proposed Amendments to the NASD By-Laws Implementing the Recommendations of the Special Committee on NASD Structure and Governance; Last Voting Date: July 5, 1990
Last Voting Date: July 5, 1990
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| Notice To Members 90-35 | SEC Approval for and Startup of the OTC Bulletin Board
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| Notice To Members 90-34 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of April 12, 1990
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| Notice To Members 90-33 | Memorial Day: Trade Date-Settlement Date Schedule
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| Notice To Members 90-32 | Revised Forms U-4 and U-5 Go Into Effect
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| Notice To Members 90-31 | Electronic Filing of Forms LJ-5 and Amendments to Form U-4
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| Notice To Members 90-30 | New NASDAQ Listing and Maintenance Standards
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| Notice To Members 90-29 | SEC Approval of New Schedule I to the NASD By-Laws Establishing and Setting Rules for The PORTAL<sup>SM</sup> Market for Primary Distributions and Secondary Trading of Private Placements
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| Notice To Members 90-28 | Automated Confirmation Transaction (ACT) Service Fees
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| Notice To Members 90-27 | Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Re: Disclosure of Deferred Sales Charges on Confirmations of the Sale of Investment Company Shares; Last Voting Date: June 5, 1990
Last Voting Date: June 5, 1990
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| Notice To Members 90-26 | Proposed Amendments to Subsections (b)(4) and (d) of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation of Asset-Based Sales Charges by the NASD; Last Date for Comment: May 31, 1990
Last Date for Comment: May 31, 1990
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| Notice To Members 90-25 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of March 15, 1990
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| Notice To Members 90-24 | Good Friday: Trade Date-Settlement Date Schedule
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| Notice To Members 90-23 | Administrative Conversion of the Series 7 General Securities Representative Examination to PLATO* Computer-Based Delivery
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| Notice To Members 90-22 | SOES Tier Levels to Change for 416 Issues on April 16, 1990
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| Notice To Members 90-21 | Collection of Fines and Costs in Disciplinary Proceedings
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| Notice To Members 90-20 | Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of The NASD By-Laws, and Article IV, Section 5 of the NASD Rules of Fair Practice; Last Date for Comment: May 5, 1990
Last Date for Comment: May 5, 1990
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| Notice To Members 90-19 | Proposed Amendments to the NASD By-Laws and Code of Procedure to Implement The Recommendations of the Special Committee on NASD Structure and Governance; Last Date for Comment: April 30, 1990
Last Date for Comment: April 30, 1990
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| Notice To Members 90-18 | SEC Staff Interpretations of Rule 15c2-6
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| Notice To Members 90-17 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of February 9, 1990
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| Notice To Members 90-16 | New Interim Criteria for Initial Inclusion in the NASDAQ System
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