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 |
|---|---|---|
| For Your Information - September 1999 | For Your Information (September)
|
|
| Notice to Members - September 1999 | For Your Information
|
|
| Notice to Members 99-83 | Columbus Day: Trade Date—Settlement Date Schedule
|
|
| Notice to Members 99-80 | Maximum SOES Order Sizes Set To Change October 1, 1999
|
|
| Notice to Members 99-78 | Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
|
|
| Notice to Members 99-77 | NASD Regulation Modifies Default Decision Procedures
|
|
| Notice to Members 99-82 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 22, 1999
|
|
| Notice to Members 99-81 | NASD Regulation Requests Comment on Proposed Salesperson Compensation Rules
|
|
| Notice to Members 99-79 | NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications with the Public
|
|
| Y2000 Update - September 1999 | Year 2000 Update (September)
|
|
| Notice to Members 99-76 | Update On OTC Bulletin Board Eligibility Rule
|
|
| Notice to Members 99-75 | Series 7 Examination Fee Increase Effective September 15, 1999
|
|
| Notice to Members 99-74 | Nominees for District 10 District Committee and District Nominating Committee
|
|
| Y2000 Update - August 1999 | Year 2000 Update (August)
|
|
| Notice to Members - August 1999 | For Your Information
|
|
| Notice to Members 99-73 | NASD Requests Comment On Proposed Amendments To The Code Of Procedure And Other Provisions
|
|
| Notice to Members 99-72 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 22, 1999
|
|
| Notice to Members 99-71 | Labor Day: Trade Date-Settlement Date Schedule
|
|
| Notice to Members 99-69 | NASD Regulation Requests Comment On Proposed Trading Halt Rules
|
|
| Notice to Members 99-68 | NASD Regulation Announces Its Policy On Enforcement Of Disciplinary Sanctions During The Pendency Of Circuit Court Appeals
|
|
| Notice to Members 99-67 | NASD Requests Comment On Proposed Amendments To Membership Rules
|
|
| Notice to Members 99-66 | SEC Approves Prior Reference Price Trade Modifier, Changes To Bunching Rules, And Riskless Principal Trade-Reporting Rules For The Third Market
|
|
| Notice to Members 99-70 | NASD Regulation Announces New Web-Based FOCUS Filing System — To Be Available For September 1999 Filings
|
|
| Notice to Members 99-65 | SEC Approves Rule Changes To NASD Trade-Reporting Rules For Riskless Principal Transaction In Nasdaq And OTC Securities
|
|
| Notice to Members 99-64 | NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
|
|
| Notice to Members 99-63 | SEC Approves And Adopts Revised Forms And Electronic Filing Requirement
New Member Applicants Should Continue To File Paper Forms
|
|
| For Your Information - August 1999 | For Your Information (August)
|
|
| NASD Rule Filing Status - July 1999 | NASD Rule Filing Status (July)
|
|
| Y2000 Update - July 1999 | Year 2000 Update (July)
|
|
| For Your Information - July 1999 | For Your Information (July)
|
|
| Notice to Members - July 1999 | For Your Information
|
|
| Notice to Members 99-62 | Nominees For District Committees And District Nominating Committees
|
|
| Notice to Members 99-61 | SEC Approves Changes To Rule 4613—Firm Quotation Requirements
Effective Date: August 2, 1999
|
|
| Notice to Members 99-60 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 24, 1999
|
|
| Notice to Members 99-59 | NASD Will No Longer Impose Censures For Some Violations
|
|
| Notice to Members 99-58 | SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule
|
|
| Notice to Members 99-57 | SEC Approves Rule Amendments Governing Clearing Firms And Their Introducing Firm Clients' Relationship
|
|
| Notice to Members 99-56 | NASD Regulation Announces CRD "System Transition Period" Immediately Preceding The Deployment Of Web CRD
|
|
| Notice to Members 99-55 | Questions And Answers Relating To Non-Cash Compensation Rules
|
|
| Notice to Members 99-54 | NASD Regulation Seeks Comment On Issues Relating To Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
|