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 98-12 | Presidents' Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-11 | SEC Approves Rules Regarding Supervision, Review, And Record Retention Of Correspondence
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| Notice to Members 98-10 | Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS)
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| Notice to Members 98-09 | 1997-98 Renewal Rosters And Final Adjusted Invoices
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| Notice to Members 98-08 | Treasury Requires Reporting Of Claims Against Government Of North Korea
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| Notice to Members 98-07 | Unregistered Foreign Equities And ADRs No Longer Eligible For Quotation In OTC Bulletin Board
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| Notice to Members 98-06 | SEC Approves Changes To Rules On Market Maker Withdrawals And Reinstatements
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| Notice to Members 98-05 | SEC Approves Changes To Third Market Trading Rules
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| Notice to Members 98-04 | Reminder Of Members' Obligations To Comply With Rule15c2-4
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| Notice to Members 98-03 | Electronic Delivery Of Information Between Members And Their Customers
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| Notice to Members 98-02 | SEC Approves Amendments To Rule 1010, 8000, And 9000 Series To Reflect Changes In NASD Corporate Organization
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| Notice to Members 98-01 | Arbitration Process Fees
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| For Your Information - December 1997 | For Your Information
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| Notice to Members December 1997 Survey | Survey
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| Notice to Members FYI December 1997 | For Your Information
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| Notice to Members 97-97 | Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts
And For Other Purposes
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| Notice to Members 97-96 | Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey
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| Notice to Members 97-95 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 21, 1997
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| Notice to Members 97-94 | NASD 1998 Holiday Schedule
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| Notice to Members 97-93 | Trade Date — Settlement Date Schedule for 1998
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| Notice to Members 97-92 | NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices To Members And Regulatory & Compliance Alert
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| Notice to Members 97-91 | NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation
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| Notice to Members 97-90 | SOES Tier-Size Levels Set To Change January 1, 1998
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| Notice to Members 97-89 | SEC Approves Bank Broker/Dealer Rule
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| Notice to Members 97-88 | SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority
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| Notice to Members 97-87 | Treasury Updates List Of Specially Designated Persons And Entities
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| For Your Information - November 1997 | For Your Information
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| Notice to Members FYI November 1997 | For Your Information
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| Notice to Members 97-86 | Nominees For NASD Board Of Governors
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| Notice to Members 97-85 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 24, 1997
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| Notice to Members 97-84 | Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
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| Notice to Members 97-83 | Exemption From SEC Rule 15c2-11 For Certain Securities Delisted From Nasdaq
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| Notice to Members 97-82 | SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers
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| Notice to Members 97-81 | NASD Regulation Requests Comment On Proposed Amendments Relating To Compensation For Sale Of Public Offerings Of Direct Participation Programs
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| Notice to Members 97-80 | SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments
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| Notice to Members 97-79 | NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements
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| Notice to Members 97-78 | SEC Approves Rule Relating To Distribution Of Information Concerning NASD Regulation's Public Disclosure Program
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| Notice to Members 97-77 | NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice
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| Notice to Members 97-76 | Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities
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| Notice to Members 97-75 | Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
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