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 06-17 | NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules
Compliance Date: July 10, 2006
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| 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
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| Notice to Members FYI December 2005 | For Your Information
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| 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. |
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| Notice to Members 05-43 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
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| Notice to Members 05-42 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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| Notice to Members 05-41 | Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.1
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| Notice to Members 05-39 | NASD Suggests Best Practices for Fingerprinting Procedures
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| 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
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| 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
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| 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
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| Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
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| Notice to Members 05-26 | NASD Recommends Best Practices for Reviewing New Products
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| 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
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| Notice to Members 05-23 | NASD Issues Further Guidance on the Trading Activity Fee
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| Notice to Members 05-19 | Revisions to the Series 11 and 55 Examination Programs
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| 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"
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| 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)
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| 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
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| Notice to Members FYI December 2004 | For Your Information
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| 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
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| Notice to Members 04-93 | Issues Relating to the SEC's Adoption of Regulation SHO
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| Notice to Members 04-94 | Nominees for the District Committee for District 10
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| 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
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| 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
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| Notice to Members 04-90 | NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
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| Notice to Members 04-89 | NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
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| Notice to Members 04-88 | NASD Notice of Meeting and Proxy
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| Notice to Members 04-87 | 2005 Trade DateSettlement Date Schedule
This version corrects the Trade Dates and Settlement Dates for Columbus Day 2005. |
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| Notice to Members 04-86 | SEC Approves NASD Interpretive Material to Rule 2210 Regarding Member Firms' Use of Investment Analysis Tools
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| Notice to Members 04-85 | SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS
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| Notice to Members 04-82 | NASD Announces Election Results for District Committees and District Nominating Committees
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| Notice to Members 04-84 | SEC Approves Adjustments to the Trading Activity Fee
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| 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. |
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| Notice to Members 04-81 | SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts
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| Notice to Members 04-80 | NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
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| Notice to Members 04-79 | SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements
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| Notice to Members 04-78 | SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
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| Notice to Members 04-77 | SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
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| Notice to Members 04-76 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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