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 88-21 | Good Friday; Trade Date-Settlement Date Schedule
Trade Date-Settlement Date Schedule
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Notice To Members 88-20 | Request for Comments on Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Investment Company Securities
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Notice To Members 88-22 | NASDAQ National Market System Totals 2,996 Securities With 11 Additions on March 15, 1988
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Notice To Members 88-19 | Proposed Amendment to Article VII of the NASD By-Laws Authorizing Mandatory Reporting of Trade Information
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Notice To Members 88-18 | Extension of Comment Period: Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
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Notice To Members 88-17 | Request for Comments on Proposed Amendments to NASD Rules of Fair Practice to Prohibit Non-Cash Compensation in Connection with Sales of Investment Company and Variable Contract Products
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Notice To Members 88-16 | NASDAQ National Market System Totals 3,004 Securities With Six Additions on March 1, 1988
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Notice To Members 88-15 | Amendment to Schedule A to the NASD By-Laws Concerning an Increased Application Fee for Member Firms With Statutorily Disqualified Individuals
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Notice To Members 88-14 | Additional Arbitration Filing Fee and Advertising Service Charge
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Notice To Members 88-13 | NASDAQ National Market System Totals 3,030 Securities With Nine Additions on February 16, 1988
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Notice To Members 88-12 | Presidents' Day: Trade Date-Settlement Date Schedule
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Notice To Members 88-11 | Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
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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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