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 98-42 | NASD Regulation Requests Comment On Proposed Rules Regarding Cease-And- Desist Proceedings
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| For Your Information - May 1998 | For Your Information For May
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| Notice to Members FYI May 1998 | For Your Information
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| Notice to Members 98-41 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1998
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| Notice to Members 98-40 | Nasdaq To Incorporate Trade Acceptance And Reconciliation Service Into Automated Confirmation Transaction Service
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| Notice to Members 98-39 | NASD Revises Sanction Guidelines
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| Notice to Members 98-38 | NASD Reminds Members Of Supervisory And Inspection Obligations
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| For Your Information - April 1998 | For Your Information For April
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| Notice to Members FYI April 1998 | For Your Information
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| Notice to Members 98-37 | Memorial Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-36 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 25, 1998
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| Notice to Members 98-35 | SEC Approves Changes To Continuing Education Rules
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| For Your Information - March 1998 | For Your Information For March
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| Notice to Members FYI March 1998 | For Your Information
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| Notice to Members 98-34 | SEC Requests Comment On Amendments To Rule 17a-5 Requiring Reports On Year 2000 Preparedness
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| Notice to Members 98-33 | SEC Approves New Order Audit Trail System (OATS)
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| Notice to Members 98-32 | Good Friday: Trade Date — Settlement Date Schedule
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| Notice to Members 98-31 | Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 1998
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| Notice to Members 98-30 | NASD Office Of The Ombudsman Clarifies Its Role
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| Notice to Members 98-29 | SOES Tier-Size Levels Set To Change April 1, 1998
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| Notice to Members 98-28 | Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
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| Notice to Members 98-27 | Interim Forms U-4 And U-5 Go Into Effect
Interim Form BD Also Approved
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| For Your Information - February 1998 | For Your Information For February
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| Notice to Members FYI February 1998 | For Your Information
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| Notice to Members 98-26 | SEC Approves Temporary Changes To NYSE Circuit Breaker/Trading Halt Rules
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| Notice to Members 98-25 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 23, 1998
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| Notice to Members 98-24 | Annual Checklist Of NASD Notices To Members
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| Notice to Members 98-23 | SEC Requests Comment On Proposed Amendments To Continuing Education Rules
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| Notice to Members 98-22 | Year 2000 Frequently Asked Questions
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| Notice to Members 98-21 | SEC Approves Amendments To Rule On Clearly Erroneous Transactions
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| Notice to Members 98-20 | Treasury Updates List Of Specially Designated Persons And Entities
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| Notice to Members 98-19 | SEC Requests Comment On Proposed Amendments To Net Capital Rule
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| Notice to Members 98-18 | NASD Regulation Permits Electronic Methods For Holding Annual Interviews Or Meetings With Registered Representatives
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| Notice to Members 98-17 | SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55)
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| Notice to Members 98-16 | SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42)
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| For Your Information - January 1998 | For Your Information For January
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| Notice to Members FYI January 1998 | For Your Information
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| Notice to Members 98-15 | NASD Regulation Requests Comment On Proposal To Adopt Recommendation And Disclosure Rules For Over-The-Counter (OTC) Equity Securities
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| Notice to Members 98-14 | NASD Requests Comment On Limiting Quotations On Over-The-Counter Bulletin Board (OTCBB) To Securities Of Reporting Issuers
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| Notice to Members 98-13 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 30, 1997
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