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 93-90 | Trade Date-Settlement Date Schedule for 1994
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| Notice To Members 93-89 | NASD 1994 Holiday Schedule
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| Notice To Members 93-88 | SEC Approves Amendment Clarifying The Application of the NASD's Corporate Financing Rule to Rule 415 Shelf Offerings and Certain Canadian Securities;
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| Notice To Members 93-87 | NASD Provides Guidance for Reinvestment of Maturing Certificates of Deposit in Mutual Funds
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| Notice To Members 93-86 | SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Resolution of Fails Resulting From Account Transfers;
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| Notice To Members 93-85 | SEC Approves Amendments to CMO Advertising Guidelines:
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| Notice To Members 93-84 | SEC Approves Amendments Prohibiting Certain Anti-Dilution Terms in the Warrant Agreements of Underwriters and Related Persons;
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| Notice To Members 93-83 | SEC Approves New Trade Reporting Requirements for Pre-Opening Transactions And Convertible Debt Transactions
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| Notice To Members 93-82 | Mail Vote—NASD Solicits Member Vote on Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
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| Notice To Members 93-81 | NASD Reminds Members of the Requirement for Fairness Of Agency Commissions And Applicability of the 5% Policy
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| Notice To Members 93-80 | Nasdaq National Market(r) Additions, Changes, And Deletions as of October 25, 1993
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| Notice To Members 93-79 | Christmas Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-78 | SEC Approves Extension Of MSRB Continuing Disclosure Information Pilot System
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| Notice To Members 93-77 | SEC Adopts Rule 15c6-1; Establishes Three-Business-Day Settlement for Securities Transactions
Establishes Three-Business-Day Settlement for Securities Transactions
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| Notice To Members 93-76 | Mail Vote—NASD Solicits Member Vote On Filing Requirements For Use of Mutual Fund Rankings and Elimination Of Sunset Provisions in Prefiling Requirements For CMO Advertisements;
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| Notice To Members 93-75 | Nasdaq National Market(r) Additions, Changes, And Deletions as of September 24, 1993
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| Notice To Members 93-74 | Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-73 | Members' Obligations to Customers When Selling Collateralized Mortgage Obligations (CMOs)
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| Notice To Members 93-72 | SEC Approves Major Revisions to Rule 17a-11
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| Notice To Members 93-71 | SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking
Seeks Comments for Proposed Rulemaking
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| Notice To Members 93-70 | SEC Amends Rule 17a-5 Giving Additional Responsibilities to Designated Examining Authorities
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| Notice To Members 93-69 | Broker/Dealer and Agent Renewals for 1993-94
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| Notice To Members 93-68 | Quotation and Trade-Reporting Rules for Members Dealing in High-Yield Bonds
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| Notice To Members 93-67 | Board Eliminates Disclosure Safe Harbor For Members Trading Ahead of Their Own Customers' Limit Orders
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| Notice To Members 93-66 | Nasdaq National Market(r) Additions, Changes, And Deletions as of August 24, 1993
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| Notice To Members 93-65 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-64 | SEC Approves Amendments Concerning Arbitration of Employment-Related Disputes: Effective October 1, 1993
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| Notice To Members 93-63 | SEC Approves Changes To Make All Arbitration Awards Publicly Available: Effective October 1, 1993
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| Notice To Members 93-62 | Requirements Governing Real-Time Trade Reporting in Over-the-Counter Equity Securities
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| Notice To Members 93-61 | Mail Vote — NASD Solicits Member Vote on New Rule Governing the Pricing of Open Orders;
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| Notice To Members 93-60 | Nasdaq National Market(r) Additions, Changes, And Deletions as of July 22, 1993
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| Notice To Members 93-59 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-58 | NASD Member Buying Services Provides Members With Discounted Products And Services
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| Notice To Members 93-57 | SOES Tier Levels Set to Change for 517 Issues On September 1, 1993
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| Notice To Members 93-56 | Quotation and Trade-Reporting Requirements For Members Dealing in High-Yield Bonds
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| Notice To Members 93-55 | SEC Amends and Clarifies Penny Stock Rules
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| Notice To Members 93-54 | SEC Approves Quotation-Size Requirements for Market Makers in OTC Equity Securities
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| Notice To Members 93-53 | SEC Approves Amendments Relating to Close Outs of Short Sales and Bona Fide Fully Hedged or Arbitraged Positions
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| Notice To Members 93-52 | Mail Vote — Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
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| Notice To Members 93-51 | Mail Vote — Proposed Amendment to the Corporate Financing Rule Relating to Fairness and Reasonableness of Anti-Dilution Provisions in Underwriters' Warrants', Options, and Convertible Securities;
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