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 94-96 | NASD Requests Comment On Disclosure Of Partnership Valuations On Customer Account Statements
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| Notice To Members 94-95 | NASD Requests Comment On Proposed Customer Complaint Rules
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| Notice To Members 94-94 | NASD Requests Comment On Proposed Rule Governing Members Operating On Bank Premises;
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| Notice To Members 94-93 | NASD Requests Comment On Proposed Rule Governing Registered Persons Lending To Or Borrowing From Customers
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| Notice To Members 94-101 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 28, 1994
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| Notice To Members 94-100 | Nasdaq National Market Additions, Changes, And Deletions As Of November 28, 1994
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| Notice To Members 94-92 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 31, 1994
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| Notice To Members 94-91 | Nasdaq National Market Additions, Changes, And Deletions As Of October 27, 1994
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| Notice To Members 94-90 | Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-89 | Fed Amends Regulation T
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| Notice To Members 94-88 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 30, 1994
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| Notice To Members 94-87 | Nasdaq National Market Additions, Changes, And Deletions As Of September 29, 1994
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| Notice To Members 94-86 | NASD 1995 Holiday Schedule
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| Notice To Members 94-85 | Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-84 | Broker/Dealer And Agent Renewals For 1994-95
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| Notice To Members 94-83 | NASD Provides Additional Guidance Concerning The Operation Of The NASD Short-Sale Rule
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| Notice To Members 94-82 | NASD Solicits Comment On Proposed Amendment To The Corporate Financing Rule Relating To Rights Of First Refusal;
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| Notice To Members 94-81 | SEC Approves NASD Proposal To Require CQS Market-Maker Participation In ITS/CAES And CAES
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| Notice To Members 94-80 | SEC Approves NASD Proposal Requiring Members To Annotate Their Affirmative Determinations As To Stock Availability Made In Connection With Short Sales
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| Notice To Members 94-79 | NASD Solicits Member Comment On Board Proposals To Extend Customer Limit-Order Protection;
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| Notice To Members 94-78 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 29, 1994
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| Notice To Members 94-77 | Nasdaq National Market Additions, Changes, And Deletions As Of August 29, 1994
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| Notice To Members 94-76 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-75 | NASD Requests Comment On Standardized Forms Proposed For DPP Securities;
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| Notice To Members 94-74 | NASAA Publishes Form Revisions For Public Comment:
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| Notice To Members 94-73 | SEC Approves Clearance And Settlement Proposal For Nasdaq And OTCBB Market Makers
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| Notice To Members 94-72 | SEC Approves Elimination Of Access Market-Maker Procedures
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| Notice To Members 94-71 | SEC Approves Amendments To Trade-Reporting Requirements For Trades Executed Outside Normal Market Hours
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| Notice To Members 94-70 | SEC Approves Adoption Of NASD Limited Partnership Rollup Transaction Rules;
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| Notice To Members 94-69 | Committee On Compensation Practices Requests Comment;
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| Notice To Members 94-68 | SEC Approves Short-Sale Rule For The Nasdaq Stock Market
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| Notice To Members 94-67 | NASD Solicits Member Comment On Cash And Non-Cash Compensation For Selling Investment Company And Variable Contract Securities;
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| Notice To Members 94-66 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 29, 1994
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| Notice To Members 94-65 | Nasdaq National Market Additions, Changes, And Deletions As Of July 28, 1994
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| Notice To Members 94-64 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-63 | New Section 46 Of Article III Of The Rules Of Fair Practice Governing The Repricing Of Open Orders Takes Effect September 15, 1994
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| Notice To Members 94-62 | NASD Solicits Member Comments On The Application Of The NASD Mark-Up Policy To Transactions In Government And Other Debt Securities, And Suitability Obligations To Institutional Customers In Debt And Equity Transactions;
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| Notice To Members 94-61 | SEC Approves Amendment To Code Of Arbitration Procedure Permitting Arbitrator Disciplinary Referrals
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| Notice To Members 94-60 | SEC Approves Guidelines Relating To The Use Of Rankings In Investment Company Advertisements And Sales Literature
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| Notice To Members 94-59 | Rule Proposals Of The Industry/Regulatory Council On Continuing Education
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