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 FYI June 2002 | For Your Information
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| Notice to Members 02-36 | Fixed Income Pricing SystemSM Additions, Changes, and Deletions as of April 23, 2002
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| Notice to Members 02-35 | NASD Adopts Amendments Regarding the Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
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| Notice to Members 02-34 | SEC Approves Proposed Changes to Rule 3070 Concerning the Reporting of Criminal Offenses by Members and Persons Associated with Members
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| Notice to Members 02-33 | SEC Approves Amendments to NASD Rule 2260 Requiring Broker/Dealers to Forward Information Regarding Debt Securities to Beneficial Owners
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| Notice to Members 02-32 | SEC Approves NASD Rule Requiring Members to Require Investors to Sign a Disclosure Document as Part of a Subordinated Loan Agreement
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| Notice to Members 02-31 | NASD Seeks Comment on Proposed Changes to the OATS Rules
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| For Your Information - May 2002 | For Your Information (May)
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| Notice to Members FYI May 2002 | For Your Information
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| Notice to Members 02-30 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of March 22, 2002
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| Notice to Members 02-29 | NASD Regulation Provides Guidance On Order Audit Trail System Rules
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| Notice to Members 02-28 | Member Obligations Regarding Long-Term Or Brokered Certificates Of Deposit (Note: This Notice is superseded by Notice to Members 02-69)
Note: This Notice is superseded by Notice to Members 02-69. |
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| Notice to Members 02-27 | Series 22, 27, 28, 39, 55, And 82 Modified
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| Notice to Members 02-26 | SEC Approves Rule Change Requiring Members To File Information With The Corporate Financing Department Through Its Electronic Filing System
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| Notice to Members 02-25 | Memorial Day: Trade Date—Settlement Date Schedule
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| Notice to Members 02-24 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of February 21, 2002
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| Notice to Members 02-22 | Securities Industry/Regulatory Council On Continuing Education Issues A Status Report On The Securities Industry Continuing Education Program
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| Notice to Members 02-23 | The NASD Seeks Comment On Proposed Rules Relating To Member Firm Business Continuity Plans And Emergency Contact Information
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| Notice to Members 02-21 | NASD Provides Guidance To Member Firms Concerning Anti-Money Laundering Compliance Programs Required By Federal Law
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| Notice to Members 02-20 | SEC Approves Technical Changes To Forms U-4 And U-5 And Amendment To NASD Interpretive Material 8310-2
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| For Your Information - March 2002 | For Your Information (March)
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| Notice to Members FYI March 2002 | For Your Information
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| Notice to Members 02-19 | SEC Review of Auditor Independence Rules
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| Notice to Members 02-18 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of January 22, 2002
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| Notice to Members 02-17 | Alerting Customers To Adjustments To Option Contracts
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| Notice to Members 02-16 | NASD Dispute Resolution To Consolidate Western Region March 4, 2002
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| For Your Information - February 2002 | For Your Information (February)
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| Notice to Members FYI February 2002 | For Your Information
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| Notice to Members 02-15 | Trade Date — Settlement Date For Good Friday 2002
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| Notice to Members 02-14 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of December 21, 2001
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| Notice to Members 02-13 | SEC Approves Permanent Injunctive Relief Rule
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| Notice to Members 02-12 | NASD Regulation Adopts Amendments To Relieve Registered Representatives Serving In The Armed Forces From Continuing Education Requirements
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| Notice to Members 02-11 | NASD Dispute Resolution Establishes A New Hearing Location In Orlando, Florida, For Arbitration And Mediation Claims Filed In Its Forum
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| Notice to Members 02-10 | The NASD Requests Information On Steps That Can Be Taken To Streamline NASD Rules
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| Notice to Members 02-09 | NASD Seeks Member Comment On Proposed Changes To NASD's Regulatory Fee
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| Notice to Members 02-08 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of November 28, 2001
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| Notice to Members 02-07 | NASD Regulation Adopts Interpretive Material Prohibiting Interference With The Transfer Of Customer Accounts In The Context Of Employment Disputes
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| Notice to Members 02-06 | Trade Date — Settlement Date Schedule For Martin Luther King Day And Presidents' Day
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| Notice to Members 02-05 | Changes To FOCUS Resulting From Certain Disclosure And Asset Recognition Requirements Under FASB 140
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| Notice to Members 02-04 | NASD Regulation Asks Members Immediately To Adopt "Best Practice" Of Requiring Investors To Sign A Disclosure Document As Part Of Subordination Agreement
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