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 88-10 | Relocation of NASD New York Offices
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| Notice To Members 88-9 | NASDAQ National Market System Totals 3,040 Securities With Six Additions on February 2, 1988
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| Notice To Members 88-8 | Request for Comments on Proposed New Section 3 to Article VII and an Amendment to Article XI, Section 4 of the NASD By-Laws
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| Notice To Members 88-7 | Year-End Check List of NASD Notices to Members
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| Notice To Members 88-6 | SEC Approves NASD New Order Confirmation Transaction (OCT) Service
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| Notice To Members 88-5 | Request for Comments on Proposed NASD Rule of Fair Practice Regarding Outside Business Activities
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| Notice To Members 88-4 | NASDAQ National Market System Totals 3,040 Securities With Four Additions on January 19, 1988
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| Notice To Members 88-3 | Amendment to Section 64 of the NASD Uniform Practice Code Regarding Acceptance and Settlement of COD Orders, Effective February 11, 1988
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| Notice To Members 88-2 | Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule
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| Notice To Members 88-1 | Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules
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| Notice To Members 87-88 | Request for Comments on Proposed Amendments to Section 66 of the NASD Uniform Practice Code Regarding Syndicate Expense Statements and Prompt Settlement of Commissions
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| Notice To Members 87-87 | Request for Comments on Proposed Amendments to Schedule E to the NASD By-Laws Regarding the Definition of a Qualified Independent Underwriter
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| Notice To Members 87-86 | NASDAQ National Market System Totals 3,052 Securities With Four Additions on January 5, 1988
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| Notice To Members 87-80 | NASDAQ National Market System Totals 3,068 Securities With 2 Additions on December 1, 1987
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| Notice To Members 87-85 | SEC Approves Revised Rules for Reporting NASDAQ/NMS Trades Executed Between 4 p.m. and 5 p.m. Under Schedule D to the NASD By-Laws
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| Notice To Members 87-84 | Annual State, Agent, and Broker-Dealer Renewals for 1988
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| Notice To Members 87-83 | Member Comment on NASD Proposals
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| Notice To Members 87-82 | Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
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| Notice To Members 87-81 | NASDAQ National Market System Totals 3,066 Securities With 5 Additions on December 15, 1987
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| Notice To Members 87-79 | Request for Comments on Proposed New NASD By-Law Authorizing Mandatory Reporting of Trade Comparison Information
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| Notice To Members 87-78 | 1988 Schedule of Holidays
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| Notice To Members 87-77 | Request for Comments on Proposed Amendments to the Rules of Practice and Procedures for the NASD's Small Order Execution System and to Schedule D to the NASD By-Laws
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| Notice To Members 87-76 | New Category of Limited Representative Registration for Corporate Securities and Availability of a Study Outline for the Series 62 — Corporate Securities Limited Representative Qualification Examination
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| Notice To Members 87-75 | Revised Series 4 — Registered Options Principal (ROP) Qualification Examination and New Study Outline
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| Notice To Members 87-74 | NASDAQ National Market System Grows to 3,076 Securities With 10 Additions on November 17, 1987
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| Notice To Members 87-73 | Request for Comments on Amendment to Board of Governors' Free-Riding Interpretation Concerning Investment Partnerships
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| Notice To Members 87-72 | NASDAQ National Market System Grows to 3,087 Securities With 15 Additions on November 3, 1987
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| Notice To Members 87-71 | H.B. Shaine & Co., Inc. Ill Pearl Street, N.W. Grand Rapids, Michigan 49503
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| Notice To Members 87-70 | Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedules
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| Notice To Members 87-69 | Front-Running of Blocks—Interpretation of the Board of Governors on Article III, Section 1 of the Rules of Fair Practice
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| Notice To Members 87-68 | NASDAQ National Market System Grows to 3,077 Securities With 10 Additions on October 20, 1987
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| Notice To Members 87-67 | Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
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| Notice To Members 87-66 | Quarterly Check List of NASD Notices to Members
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| Notice To Members 87-65 | Statutorily Disqualified Persons Who Obtain a Controlling Interest in an NASD Member Firm and Failure of NASD-Registered Persons Who Become Statutorily Disqualified to Timely Amend Form U-4
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| Notice To Members 87-64 | NASDAQ National Market System Grows to 3,063 Securities With 17 Additions on October 6, 1987
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| Notice To Members 87-63 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 87-62 | NASD Board of Governors' Decision Concerning Regulation of Market Making by Issuer Affiliates
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| Notice To Members 87-61 | Suggested Escrow Agreement Provisions for Members' Compliance With Securities and Exchange Commission Rule 15c2-4
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| Notice To Members 87-60 | NASDAQ National Market System Grows to 3,046 Securities With 11 Additions on September 15, 1987
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| Notice To Members 87-59 | Check List of NASD Notices to Members
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