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 97-07 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 1997
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| Notice to Members 97-06 | Good Friday: Trade Date — Settlement Date Schedule
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| Notice to Members 97-05 | Annual Check List of NASD Notices to Members
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| Notice to Members 97-04 | NASD Reminds Members About Treasury's Foreign Assets Control Regulations
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| For Your Information - January 1997 | For Your Information
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| Notice to Members FYI January 1997 | For Your Information
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| Notice to Members 97-03 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1996
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| Notice to Members 97-02 | Presidents' Day: Trade Date — Settlement Date
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| Notice to Members 97-01 | Approval Of Telemarketing Amendments
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| NASD Rule Filing Status - December 1996 | NASD Rule Filing Status
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| For Your Information - December 1996 | For Your Information For December
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| Notice to Members FYI December 1996 | December FYI
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| Notice to Members 96-91 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1996
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| Notice to Members 96-90 | Trade Date — Settlement Date Schedule For 1997
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| Notice to Members 96-89 | NASD 1997 Holiday Schedule
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| Notice to Members 96-88 | SOES Tier Levels Set To Change January 2, 1997
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| Notice to Members 96-87 | NASD Regulation PROCTOR Transition To Sylvan Continues
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| Notice to Members 96-86 | NASD Regulation Reminds Members And Associated Persons That Sales Of Variable Contracts Are Subject To NASD Suitability Requirements
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| Notice to Members 96-85 | Customer Complaint Reporting Rule Update
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| Notice to Members 96-84 | NASD Regulation Solicits Comment On The Use Of Bond Mutual Fund Risk Ratings In Supplemental Sales Literature
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| Notice to Members 96-83 | NASD Regulation Solicits Comment On Proposed Rule Relating To Prohibition On Members Receiving Any Payment To Publish A Quotation, Make A Market In An Issuer's Securities, Or Submit An Application In Connection Therewith
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| Notice to Members 96-82 | NASD Regulation Solicits Comment On Proposed Rules Governing Supervision, Review, And Record Retention Of Correspondence
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| Notice to Members 96-81 | SEC Transaction Fees Begin January 1, 1997, On Nasdaq And Other Prompt Last Sale Reported Non-Debt Transactions
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| Notice to Members 96-80 | SEC Requests Comments On Proposed Amendments To SEC Rules 17a-3 And 17a-4
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| Notice to Members 96-79 | Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996
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| Notice to Members 96-78 | Christmas Day And New Year's Day: Trade Date—Settlement Date Schedule
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| Notice to Members 96-77 | CRD Will Provide Firms With Advisory Messages When Significant Disciplinary Actions Require Reentry Of Individuals Into The Regulatory Element Of The Continuing Education Program
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| Notice to Members 96-76 | SEC Approves Amendment To IM-8310-2 Regarding The Availability Of Disciplinary Complaints And Disciplinary Decisions Upon Request
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| Notice to Members 96-75 | Fixed Income Pricing System Additions, Changes, and Deletions as of October 3, 1996
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| Notice to Members 96-74 | Veterans' Day And Thanksgiving Day: Trade Date—Settlement Date Schedule
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| Notice to Members 96-73 | Members Reminded To Report Executive Representative And Address Changes
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| Notice to Members 96-72 | NASD Regulation Computerized Delivery Site Transition To Sylvan Continues
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| Notice to Members 96-71 | Broker/Dealer And Agent Renewals For 1997
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| Notice to Members 96-70 | NASD Reminds Members Of Prohibition Against Commercial Use Of Information Filed Under The Federal Election Campaign Act
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| Notice to Members 96-69 | Industry/Regulatory Council On Continuing Education Issues Update On The Status Of The Securities Industry Continuing Education Program
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| Notice to Members 96-68 | NASD Solicits Member Comment On Proposed Rules Relating To Prospectus Disclosure Of Cash And Non-Cash Compensation For The Sale Of Investment Company Securities
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| Notice to Members 96-67 | Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds
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| Notice to Members 96-66 | SEC Expands Scope Of Conduct Rules And Other NASD Rules To Government Securities
Approves New Suitability Interpretation
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| Notice to Members 96-65 | New SEC Rules On Order Handling And Execution Of Customer Orders
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| Notice to Members 96-64 | Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
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