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 98-76 | Maximum SOES Order Sizes Set To Change October 1, 1998
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| Notice to Members 98-75 | SEC Approves Rule Change Relating To Non- Cash Compensation For Mutual Funds And Variable Products
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| Notice to Members 98-74 | SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards
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| Notice to Members 98-73 | Firms Required To Register For Order Audit Trail System
Amendments To OATS Rules
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| Notice to Members 98-72 | Regional Nominating Committee Nominees For The National Adjudicatory Council
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| For Your Information - August 1998 | For Your Information For August
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| Notice to Members FYI August 1998 | For Your Information
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| Notice to Members 98-71 | NASD Regulation Requests Comment On Whether To Modify The Public Disclosure Program To Limit The Period For Disclosure Of Certain Criminal Information
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| Notice to Members 98-70 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998
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| Notice to Members 98-69 | Labor Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-68 | Update On The Securities Industry Continuing Education Program
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| Notice to Members 98-67 | SEC Approves Amendment To Rule On Fidelity Bonding Requirements
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| Notice to Members 98-66 | NASD Clarifies Acceptable Customer Access To SelectNet And SOES Correction on page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES
Correction - On page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES should read:The SOES rules currently contain a specific provision, NASD Rule 4720(c)(4), that requires SOES order entry firms to maintain the physical security of Nasdaq equipment located on the premises of the firm to prevent unauthorized entry of information into SOES. |
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| Notice to Members 98-65 | NASD Reminds Members Of Obligations Relating To The Short- Sale Rule
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| Notice to Members 98-64 | Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
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| For Your Information - July 1998 | For Your Information For July
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| Notice to Members FYI July 1998 | For Your Information
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| Notice to Members 98-63 | NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers To File Year 2000 Reports And Releases Year 2000 Survey Results
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| Notice to Members 98-62 | District Committee And District Nominating Committee Election Procedures And National Adjudicatory Council Nomination Procedures
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| Notice to Members 98-61 | NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees
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| Notice to Members 98-60 | NASD Extends Filing Period For New Equity Trader Examination And Responds To Questions Regarding New Equity Trader Qualification Rule
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| Notice to Members 98-59 | SEC Approves Amendments To NASD Rule 1120 (Continuing Education Requirements)
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| Notice to Members 98-58 | NASD Manual Now On-Line
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| Notice to Members 98-57 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998
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| Notice to Members 98-56 | SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes
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| Notice to Members 98-55 | Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS)
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| Notice to Members 98-54 | SEC Approves Rule Change Regarding Approval Of Research Reports
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| Notice to Members 98-53 | Members Reminded To Report Executive Representative And Address Changes
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| Notice to Members 98-52 | SEC Approves Taping Rule
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| Notice to Members 98-51 | Exemptive Relief Under MSRB Rule G-37(i)
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| Notice to Members 98-50 | Treasury Updates List Of Specially Designated Persons And Entities
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| Notice to Members 98-49 | SEC Approves Amendments To Rule Regarding Options Position Limits
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| Notice to Members 98-48 | SEC Approves Amendments To Free-Riding And Withholding Interpretation
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| Notice to Members 98-47 | SEC Approves Changes To Books And Records Requirements
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| For Your Information - June 1998 | For Your Information For June
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| Notice to Members FYI June 1998 | For Your Information
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| Notice to Members 98-46 | Independence Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-45 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1998
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| Notice to Members 98-44 | SOES Tier-Size Levels Set To Change July 1, 1998
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| Notice to Members 98-43 | Federal Reserve System Amends Regulations T, U, And X
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