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 01-56 | NASD Notice Of Meeting And Proxy
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| Notice to Members 01-55 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of June 21, 2001
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| Notice to Members 01-54 | SEC Approves Proposed Additions To The List Of Rules Appropriate For Disposition As Minor Violations Of Rules And For The Establishment Of Late Fees For Certain Filings And Reports
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| Notice to Members 01-53 | Procedures Governing The Review And Approval Of Subordination Agreements Filed With The NASD
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| Notice to Members 01-52 | SEC Approves NASD Rule Proposal Relating To Registration Requirements For Limited Principals-Financial And Operations And Limited Principals-Introducing Broker/Dealer Financial And Operations
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| Notice to Members 01-51 | SEC Approves NASD Rule Proposal Requiring Registration Of Chief Compliance Officers
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| Notice to Members 01-50 | Amendment To The Policy For Granting Foreign Deferrals Of The Regulatory Element
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| For Your Information - July 2001 | For Your Information (July)
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| Notice to Members FYI July 2001 | For Your Information
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| Notice to Members 01-49 | Labor Day: Trade Date — Settlement Date Schedule
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| Notice to Members 01-48 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of May 21, 2001
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| Notice to Members 01-47 | SEC Approves Rule Change Prohibiting Publication Of Quotations Or Indications Of Interest In A Security During A Trading Halt (Note: The effective date for amendments to Rule 3340 has been delayed until October 9, 2001)
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems. |
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| Notice to Members 01-46 | SEC Approves Extension Of Limit Order Protection Principles To Certain OTCBB Securities On A Pilot Basis
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| Notice to Members 01-45 | NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public
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| Notice to Members 01-44 | SEC Issues Interpretive Guidance Concerning Exchange Act Rules 11Ac1-5 And 11Ac1-6
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| Notice to Members 01-43 | NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
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| Notice to Members 01-42 | Nominees For NASD Board Of Governors
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| For Your Information - June 2001 | For Your Information (June)
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| Notice to Members FYI June 2001 | For Your Information
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| Notice to Members 01-41 | SEC Approves PORTAL Rule Amendments
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| Notice to Members 01-40 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of April 23, 2001
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| Notice to Members 01-39 | SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings
Related Qualification Examination (Series 82) Is Effective
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| Notice to Members 01-38 | NASD Regulation Requests Comment On Proposed Amendments To The Taping Rule
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| Notice to Members 01-37 | NASD Regulation Extends Deadline For Delivery Of Margin Disclosure Statement To Existing Non-Institutional Customers To January 31, 2002
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| Notice to Members 01-36 | NASD Regulation, Inc. Requests Comment On Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer Of Customer Accounts
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| Notice to Members 01-35 | NASD Regulation Requests Comment On Steps That Can Be Taken To Streamline NASD Rules
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| Notice to Members 01-34 | Memorial Day: Trade Date — Settlement Date Schedule
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| Notice to Members 01-33 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of March 22, 2001
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| Notice to Members 01-32 | Series 24, 26, And 62 Modified
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| Notice to Members 01-30 | Member Obligations To Provide Statistical Information About Order Routing Under Rule 11Ac1-6 Of The Securities Exchange Act Of 1934
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| Notice to Members 01-29 | SEC Approves Amendments To Prohibit Terminated Or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers In The NASD Arbitration Forum
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| Notice to Members 01-31 | SEC Approves NASD Rule Proposal Requiring Delivery Of Margin Disclosure Statement To Non-Institutional Customers
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| Notice to Members 01-28 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of February 22, 2001
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| Notice to Members 01-27 | NASD Revises Sanction Guidelines
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| Notice to Members 01-26 | SEC Approves Proposed Rule Change Relating To Day-Trading Margin Requirements
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| Notice to Members 01-25 | SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
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| Notice to Members 01-24 | SEC Approves Proposed Changes To Rule 2330(f)(2) Relating To Performance Fees
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| Notice to Members 01-23 | Suitability Rule And Online Communications
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| Notice to Members 01-22 | NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
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| For Your Information - March 2001 | For Your Information (March)
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