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 00-77 | Thanksgiving Day: Trade Date — Settlement Date Schedule
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| Notice to Members 00-76 | Fixed Income Pricing System Additions, Deletions, And Changes As Of September 22, 2000
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| Notice to Members 00-75 | Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
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| Notice to Members 00-74 | NASD Announces Election Results For District Committees And District Nominating Committees
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| Notice to Members 00-73 | SEC Approves Amendments To NASD Membership Rules (Correction: On page 571, the 2nd sentence should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." Online version amended)
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected. |
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| Notice to Members 00-72 | Broker/Dealer And Agent Renewals For 2001
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| Notice to Members 00-71 | NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
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| Notice to Members 00-70 | Nasdaq Requests Comment On Extending Manning Limit Order Protection Interpretation To Premarket Hours (Correction: On p. 556, it was originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET.)
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected. |
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| For Your Information - September 2000 | For Your Information (September)
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| Notice to Members 2000 | For Your Information
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| Notice to Members 00-69 | Columbus Day: Trade Date — Settlement Date Schedule
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| Notice to Members 00-68 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 21, 2000
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| Notice to Members 00-67 | Decimalization Implementation Plan
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| Notice to Members 00-66 | NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information
SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
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| Notice to Members 00-65 | Nasdaq Is Establishing The Primex Auction System As A New Facility
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| Notice to Members 00-64 | SEC Approves Rule Changes To Amend Mediation Fee Structure
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| Notice to Members 00-63 | NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
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| Notice to Members 00-61 | NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
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| Notice to Members 00-62 | SEC Approves Day-Trading Rules
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| Notice to Members 00-60 | Nominees For District Committees And District Nominating Committees
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| For Your Information - August 2000 | For Your Information (August)
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| Notice to Members - FYI - August 2000 | For Your Information
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| Notice to Members 00-59 | NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council
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| Notice to Members 00-58 | Labor Day: Trade Date — Settlement Date Schedule
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| Notice to Members 00-57 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 20, 2000
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| Notice to Members 00-56 | SEC Approves Changes To Rule Regarding The Code Of Procedure
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| Notice to Members 00-55 | NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt
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| Notice to Members 00-54 | NASD Reminds Members Of Methods For Determining Ex-Dividend Dates
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| Notice to Members 00-53 | NASD Adopts Exemption From The Corporate Financing Rule For Interval Funds
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| Notice to Members 00-52 | NASD And Exchanges Submit Decimalization Plan To The SEC
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| Notice to Members 00-51 | SEC Approves Proposed Rule Change Relating To Margin For Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control And Restricted Securities, And Options Transactions
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| Notice to Members 00-50 | Withdrawal Of Proposed Rule And Reminder Of Restrictions On Use Of Unregistered Persons
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| For Your Information - July 2000 | For Your Information (July)
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| Notice to Members 2000 | For Your Information
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| Notice to Members 00-49 | SEC Issues Staff Interpretation On The "Free Trading" Status Of Blank Check Company Securities Under Certain Scenarios
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| Notice to Members 00-48 | NASD Adopts Rule Requiring Member Participation In Decimalization Testing
NASD Reminds Selected Members Of Survey Deadline: July 28, 2000
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| Notice to Members 00-47 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 23, 2000
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| Notice to Members 00-46 | NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
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| Notice to Members 00-45 | NASD Announces Changes To SEC Rule 15c3-3 Extension Request Reason Codes (Correction: On p. 1, the 2nd para under Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, entry of Issue Symbol or CUSIP is required)
Correction - On page 1, the second paragraph under subhead Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, the entry of either Issue Symbol or CUSIP will be required. |
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| Notice to Members 00-44 | The NASD Reminds Members Of Their Responsibilities Regarding The Sale Of Variable Life Insurance
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