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 2000 | For Your Information
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| Notice to Members 00-08 | NASD Reminds Members Of Their Obligations Regarding Municipal Securities Transaction Reporting
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| Notice to Members 00-07 | Disclosure To Customers Engaging In Extended Hours Trading
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| Notice to Members 00-06 | The Countdown To Decimals
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| Notice to Members 00-05 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1999
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| Notice to Members 00-04 | Martin Luther King, Jr. Day And Presidents Day: Trade Date — Settlement Date Schedule
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| Notice to Members 00-03 | Annual Checklist Of NASD Notices to Members
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| Notice to Members 00-02 | NASD Alerts Members To Their Obligations Concerning Soliciting Business In Foreign Jurisdictions
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| Notice to Members 00-01 | 1999-2000 Renewal Rosters And Final Adjusted Statements
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| For Your Information - December 1999 | For Your Information (December)
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| Notice to Members - December 1999 | For Your Information
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| Notice to Members 99-98 | NASD Regulation Reiterates That Members Must Comply With All Short Sale Rules When Receiving Orders Through Electronic Order Systems Or The Internet And Reiterates The Operation Of The Affirmative Determination Rule
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| Notice to Members 99-97 | NASD Office Of The Ombudsman Clarifies Its Role
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| Notice to Members 99-107 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 22, 1999
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| Notice to Members 99-106 | NASD 2000 Holiday Schedule
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| Notice to Members 99-105 | Trade Date—Settlement Date Schedule For 2000
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| Notice to Members 99-104 | Maximum SOES Order Sizes Set To Change January 10, 2000
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| Notice to Members 99-103 | SEC Approves Rule Change Relating To Sales Charges For Investment Companies And Variable Contracts
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| Notice to Members 99-102 | NASD Announces Changes To Regulation T And SEC Rule 15c3-3 Extension Request Reason Codes
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| Notice to Members 99-101 | NASD Regulation To Launch Additional Form Filing Regulatory Applications
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| Notice to Members 99-100 | SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
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| Notice to Members 99-99 | NASD Reiterates Obligations To Display Customer Limit Orders Pursuant To SEC Rule 11Ac1-4
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| Y2000 Update - December 1999 | Year 2000 Update (December)
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| NASD Reiterates Obligations To Display Customer Limit Orders Pursuant To SEC Rule 11Ac1-4 | ||
| Notice to Members 98-99 | SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers
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| Notice to Members 99-96 | SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
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| Notice to Members 99-95 | NASD Announces Changes To The By-Laws Associated Person Definition
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| Notice to Members 99-94 | Christmas Day: Trade Date—Settlement Date Schedule
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| Notice to Members 99-93 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 22, 1999
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| Notice to Members 99-92 | SEC, NASD Regulation, And NYSE Issue Joint Statement On Broker/Dealer Risk Management Practices
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| Notice to Members 99-91 | NASD Revises And Replaces Notice to Members 99-59 And Issues New Censure Policy
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| Y2000 Update - November 1999 | Year 2000 Update (November)
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| Notice to Members 99-90 | NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings
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| Notice to Members 99-89 | NASD Informs Members Of Election Results For District Committees And District Nominating Committees
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| Notice to Members 99-88 | Veterans Day And Thanksgiving Day: Trade Dates—Settlement Dates Schedule
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| Notice to Members 99-87 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 23, 1999
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| Notice to Members 99-86 | NASD Regulation Adopts Policy Regarding Imposition And Collection Of Monetary Sanctions
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| Notice to Members 99-85 | Broker/Dealer And Agent Renewals For 2000
CRD Fee Changes
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| Y2000 Update - October 1999 | Year 2000 Update (October)
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| Notice to Members 99-84 | NASD To Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
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