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 94-11 | Special Registration Review Surcharge Takes Effect March 1, 1994
|
|
Notice To Members 94-10 | Members Urged To Ensure Timely, Accurate, And Complete Trading Data Submissions
|
|
For Your Information - January 1994 | For Your Information
|
|
Notice To Members 94-4 | Presidents' Day: Trade Date-Settlement Date Schedule
|
|
Notice To Members 94-3 | Annual Check List of NASD Notices to Members
|
|
Notice To Members 94-2 | 1993-94 Renewal Rosters and Final Adjusted Invoices
|
|
Notice To Members 94-1 | SEC Approves New Small Order Execution System Rules
|
|
Notice To Members 93-91 | Nasdaq National Market<sup>®</sup> Additions, Changes, And Deletions as of November 26, 1993
|
|
Notice To Members 93-90 | Trade Date-Settlement Date Schedule for 1994
|
|
Notice To Members 93-89 | NASD 1994 Holiday Schedule
|
|
Notice To Members 93-88 | SEC Approves Amendment Clarifying The Application of the NASD's Corporate Financing Rule to Rule 415 Shelf Offerings and Certain Canadian Securities;
|
|
Notice To Members 93-87 | NASD Provides Guidance for Reinvestment of Maturing Certificates of Deposit in Mutual Funds
|
|
Notice To Members 93-86 | SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Resolution of Fails Resulting From Account Transfers;
|
|
Notice To Members 93-85 | SEC Approves Amendments to CMO Advertising Guidelines:
|
|
Notice To Members 93-84 | SEC Approves Amendments Prohibiting Certain Anti-Dilution Terms in the Warrant Agreements of Underwriters and Related Persons;
|
|
Notice To Members 93-83 | SEC Approves New Trade Reporting Requirements for Pre-Opening Transactions And Convertible Debt Transactions
|
|
Notice To Members 93-82 | Mail Vote—NASD Solicits Member Vote on Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
|
|
Notice To Members 93-81 | NASD Reminds Members of the Requirement for Fairness Of Agency Commissions And Applicability of the 5% Policy
|
|
Notice To Members 93-80 | Nasdaq National Market(r) Additions, Changes, And Deletions as of October 25, 1993
|
|
Notice To Members 93-79 | Christmas Day: Trade Date-Settlement Date Schedule
|
|
Notice To Members 93-78 | SEC Approves Extension Of MSRB Continuing Disclosure Information Pilot System
|
|
Notice To Members 93-77 | SEC Adopts Rule 15c6-1; Establishes Three-Business-Day Settlement for Securities Transactions
Establishes Three-Business-Day Settlement for Securities Transactions
|
|
Notice To Members 93-76 | Mail Vote—NASD Solicits Member Vote On Filing Requirements For Use of Mutual Fund Rankings and Elimination Of Sunset Provisions in Prefiling Requirements For CMO Advertisements;
|
|
Notice To Members 93-75 | Nasdaq National Market(r) Additions, Changes, And Deletions as of September 24, 1993
|
|
Notice To Members 93-74 | Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedule
|
|
Notice To Members 93-73 | Members' Obligations to Customers When Selling Collateralized Mortgage Obligations (CMOs)
|
|
Notice To Members 93-72 | SEC Approves Major Revisions to Rule 17a-11
|
|
Notice To Members 93-71 | SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking
Seeks Comments for Proposed Rulemaking
|
|
Notice To Members 93-70 | SEC Amends Rule 17a-5 Giving Additional Responsibilities to Designated Examining Authorities
|
|
Notice To Members 93-69 | Broker/Dealer and Agent Renewals for 1993-94
|
|
Notice To Members 93-68 | Quotation and Trade-Reporting Rules for Members Dealing in High-Yield Bonds
|
|
Notice To Members 93-67 | Board Eliminates Disclosure Safe Harbor For Members Trading Ahead of Their Own Customers' Limit Orders
|
|
Notice To Members 93-66 | Nasdaq National Market(r) Additions, Changes, And Deletions as of August 24, 1993
|
|
Notice To Members 93-65 | Columbus Day: Trade Date-Settlement Date Schedule
|
|
Notice To Members 93-64 | SEC Approves Amendments Concerning Arbitration of Employment-Related Disputes: Effective October 1, 1993
|
|
Notice To Members 93-63 | SEC Approves Changes To Make All Arbitration Awards Publicly Available: Effective October 1, 1993
|
|
Notice To Members 93-62 | Requirements Governing Real-Time Trade Reporting in Over-the-Counter Equity Securities
|
|
Notice To Members 93-61 | Mail Vote — NASD Solicits Member Vote on New Rule Governing the Pricing of Open Orders;
|
|
Notice To Members 93-60 | Nasdaq National Market(r) Additions, Changes, And Deletions as of July 22, 1993
|
|
Notice To Members 93-59 | Labor Day: Trade Date-Settlement Date Schedule
|