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 88-90 | Proposed Rule Amendment, By-Laws Amendments Under Schedule C Re: Training, Qualification, and Registration of Representatives and Principals; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
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| Notice To Members 88-89 | Amendment to Schedule E of the NASD By-Laws Re: Definition of Qualified Independent Underwriter - Effective December 1, 1988
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| Notice To Members 88-88 | Amendment to Section 34, of the NASD Rules of Fair Practice Re: Prohibition on Non-Cash Sales Incentives in Public Offerings Effective January 1, 1989
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| Notice To Members 88-87 | Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Date for Comment: December 1, 1988
Last Date for Comment: December 1, 1988
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| Notice To Members 88-86 | Approval and Immediate Effectiveness of Article III, Section 43 of the NASD Rules of Fair Practice Regarding Outside Business Activities
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| Notice To Members 88-85 | Securities and Exchange Commission Decision Re: Handling Customers' Limit Orders
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| Notice To Members 88-84 | SEC Approval of Amendments to NASD Rules of Fair Practice and Conforming Amendments to the By-Laws Re: Supervisory Practices and Definitions of Branch Office and Office of Supervisory Jurisdiction
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| Notice To Members 88-83 | Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Re: Marking Customer Order Tickets - Effective Immediately
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| Notice To Members 88-82 | Veteran's Day and Thanksgiving Day Trade Date-Settlement Date Schedules
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| Notice To Members 88-81a | Broker-Dealer and Agent Renewals for 1988-89; Status of CRD Phase II Implementation
Status of CRD Phase II Implementation
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| Notice To Members 88-81 | NASD Raises Corporate Filing Fee
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| Notice To Members 88-80 | Third-Quarter Check List of NASD Notices to Members
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| Notice To Members 88-79 | NASDAQ National Market System Additions, Changes, and Deletions as of September 16, 1988
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| Notice To Members 88-78 | Telephone Number Change for NASD's Rockville, Maryland Office Effective October 14, 1988
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| Notice To Members 88-77 | SIPC Trustee Appointed: Fairweather (George R.) Securities, Inc. 75 Montgomery Street, Jersey City, New Jersey
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| Notice To Members 88-76 | Test Center Location for Houston Series 7 Exam in October
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| Notice To Members 88-75 | Amendment Eliminating the Fine Limitation in Disciplinary Proceedings
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| Notice To Members 88-74 | Amendment to Code of Procedure Re: Composition of Panels for DBCC and Market Surveillance Hearings
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| Notice To Members 88-73 | Amendment to NASD UPC That Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicates
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| Notice To Members 88-72 | Proposed Amendment to Definition of "Bona Fide Research" - Last Voting Date: November 3, 1988
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| Notice To Members 88-71 | NASDAQ National Market System Additions as of August 19, 1988
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| Notice To Members 88-70 | Columbus Day Trade Date-Settlement Date Schedule
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| Notice To Members 88-69 | Documentation for Excused Withdrawal Under Schedule D of By-Laws
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| Notice To Members 88-68 | Proposed Amendment Re Providing Terminated Employee with Form U-5 and Obtaining Prior Form U-5 for Potential Employees; Comment by October 1, 1988
Comment by October 1, 1988
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| Notice To Members 88-67 | Obligation to Provide Accurate Information on Forms U-4 and U-5 and to Research Potential Employee's Background
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| Notice To Members 88-66 | Test Center Change for Houston Series 7 Exam in September
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| Notice To Members 88-65 | Proposed Amendment: Use and Disclosure of Member Names; Last Date for Comment: October 3, 1988
Last Date for Comment: October 3, 1988
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| Notice To Members 88-64 | Proposed Amendment Regarding Filing of Advertising and Sales Literature for Investment Company Securities; Deadline for Voting: October 3, 1988
Deadline for Voting: October 3, 1988
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| Notice To Members 88-63 | New Requirements - Effective Immediately - Re Issuing Companies' Notification of NASD Regarding Material News
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| Notice To Members 88-62 | SEC Adopts Rule 10b-21 Prohibiting Shorting into Secondaries
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| Notice To Members 88-61 | Interpretations - Effective Immediately - of SOES Rules Regarding Compliance With Maximum Order Size Restrictions.
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| Notice To Members 88-60 | Quarterly Check List of NASD Notices to Members
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| Notice To Members 88-59 | Labor Day Trade Date-Settlement Date Schedule
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| Notice To Members 88-58 | September First-Saturday Exam Session Changed
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| Notice To Members 88-57 | NASDAQ National Market System Additions as of July 22, 1988
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| Notice To Members 88-56 | Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD
State Pilot for Broker-Dealer Phase of CRD
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| Notice To Members 88-55 | Correction to Notice to Members 88-55
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| Notice To Members 88-54 | Implementation of Reporting Requirements for Non-NASDAQ OTC Securities; Effective September 1, 1988
Effective September 1, 1988
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| Notice To Members 88-53 | SiPC Trustee Appointed: Fitzgerald, DeArman & Roberts, Inc., 6400 South Lewis, Tulsa, Oklahoma 74170
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| Notice To Members 88-52 | Amendment to Rule: Testimonial Advertisements.
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