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
Notice to Members 06-74
Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
Notice to Members FYI December 2006
For Your Information
This version has been updated with more detailed information about each filing.
Notice to Members 06-62
SEC Approves Rule 3160 Regarding Submission and Reporting Requirements for Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Effective Date: March 1, 2007
Notice to Members 06-35
Revisions to the Series 22, 27, 28, 39 and 55 Examination Programs
Implementation Date: August 15, 2006
Notice to Members 06-18
SEC Division of Market Regulation Issues Interpretive Guidance Regarding Regulation SHO Close-Out Requirements
Effective Date: May 1, 2006
Notice to Members 06-17
NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules
Compliance Date: July 10, 2006
Notice to Members 06-04
SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance
Notice to Members FYI December 2005
For Your Information
Notice to Members 05-79
Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees
Implementation Date: January 1, 2006

This version corrects the Series 22 (Direct Participation Programs Representative) Fee.
Notice to Members 05-43
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Notice to Members 05-42
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Notice to Members 05-41
Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.1
Notice to Members 05-39
NASD Suggests Best Practices for Fingerprinting Procedures
Notice to Members 05-38
NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts
Immediate Action May Be Required to Ensure Compliance
Notice to Members 05-37
NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data
Notice to Members 05-40
NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities Comment Period Expired August 5, 2005
Notice to Members 05-36
SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
Notice to Members 05-26
NASD Recommends Best Practices for Reviewing New Products
Notice to Members 05-24
NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports
Notice to Members 05-23
NASD Issues Further Guidance on the Trading Activity Fee
Notice to Members 05-19
Revisions to the Series 11 and 55 Examination Programs
Notice to Members 05-14
NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
Notice to Members 05-13
NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
Notice to Members 05-12
SEC Approves Amendments to Rule 9522 Regarding Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
Notice to Members FYI December 2004
For Your Information
Notice to Members 04-95
NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities
Notice to Members 04-93
Issues Relating to the SEC's Adoption of Regulation SHO
Notice to Members 04-94
Nominees for the District Committee for District 10
Notice to Members 04-92
Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD
Notice to Members 04-91
NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule
Notice to Members 04-90
NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
Notice to Members 04-89
NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
Notice to Members 04-88
NASD Notice of Meeting and Proxy
Notice to Members 04-87
2005 Trade Date–Settlement Date Schedule

This version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.
Notice to Members 04-86
SEC Approves NASD Interpretive Material to Rule 2210 Regarding Member Firms' Use of Investment Analysis Tools
Notice to Members 04-85
SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS
Notice to Members 04-82
NASD Announces Election Results for District Committees and District Nominating Committees
Notice to Members 04-84
SEC Approves Adjustments to the Trading Activity Fee
Notice to Members 04-83
NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)

Note: The comment period was extended to February 1, 2005.
Notice to Members 04-81
SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts
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