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 93-50 | Mail Vote — Proposed New Section to the Rules of Fair Practice Relating to the Respective Obligations And Supervisory Responsibilities of Introducing and Clearing Firms;
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| Notice To Members 93-49 | Solicitation of Member Comment on Board Action to Eliminate the Disclosure Safe Harbor for Customer Limit Orders;
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| Notice To Members 93-48 | Nasdaq National Market(r) Additions, Changes, And Deletions
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| Notice To Members 93-47 | SEC Permits Use of Optical Storage Technology for Records Retention
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| Notice To Members 93-46 | SEC Provides Additional Clarifications and Interpretations to Net Capital Rule Amendments
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| Notice To Members 93-45 | SEC Approves Mandatory Book-Entry Settlement of Transactions in Depository-Eligible Securities
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| Notice To Members 93-44 | SEC Approves Increase In Non-Cash Sales Incentive Compensation
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| Notice To Members 93-43 | SEC Approves Modified Excess Spread Parameters for Market Makers
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| Notice To Members 93-42 | SEC Approves NASD's Minor Rule Violations Plan
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| Notice To Members 93-41 | SEC Approves Schedule D Amendments Permitting Excused Withdrawal or Passive Market-Making Status for Distribution Participants That Are Nasdaq Market Makers
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| Notice To Members 93-40 | Request for Comments on Proposed Amendments to the Free-Riding and Withholding Interpretation Under Article III, Section 1 of the Rules of Fair Practice
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| Notice To Members 93-39 | Nasdaq National Market(r) Additions, Changes, And Deletions as of May 24, 1993
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| Notice To Members 93-38 | Independence Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-37 | NASD<sup>®</sup> Expands the Public Disclosure Program
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| Notice To Members 93-36 | Codification of Investment Company Advertising Guidelines
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| Notice To Members 93-35 | Mail Vote — Proposed Amendment to the Procedures for Filling Vacancies on NASD<sup>®</sup> Nominating Committees;
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| Notice To Members 93-34 | Nasdaq National Market(r) Additions, Changes, And Deletions as of April 23, 1993
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| Notice To Members 93-33 | The Role of the NASD's Disciplinary Committees
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| Notice To Members 93-32 | NASD Publishes Sanction Guidelines To Familiarize Members With Major Violations And Penalties
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| Notice To Members 93-31 | SEC Requests Comments on Proposal To Establish Three-Business-Day Settlement For Securities Transactions
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| Notice To Members 93-30 | NASD Provides SEC-Approved Clarifications and Interpretations to Recent Net Capital Rule Amendments
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| Notice To Members 93-29 | SEC Approves Rule 10b-6 Passive Market Making and Changes to Notification Procedures Under Schedule D of the NASD By-Laws
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| Notice To Members 93-28 | Nasdaq National Market(r) Additions, Changes, And Deletions as of March 23, 1993
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| Notice To Members 93-27 | Memorial Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-26 | NASD Urges Members to Provide Complete and Accurate Blue Sheet Submissions
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| Notice To Members 93-25 | SEC Approves New Trade-Reporting Requirements for Late-Trade Reports
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| Notice To Members 93-24 | SEC Approves Fifth-Character Identifier In Market-Maker Symbols for Non-Primary Trading Location
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| Notice To Members 93-23 | SEC Approves New NASD Margin Rules
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| Notice To Members 93-22 | Nasdaq National Market(r) Additions, Changes, And Deletions as of February 22, 1993
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| Notice To Members 93-21 | Good Friday: Trade Date-Settlement Date Schedule
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| Notice To Members 93-20 | NASD and Other SROs Launch Continuing Education Effort for Member Firms
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| Notice To Members 93-19 | NASD Reminds Members to Settle Syndicate Accounts Within 90 Days of the Settlement Date
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| Notice To Members 93-18 | SEC Approves Collateralized Mortgage Obligations Advertising Guidelines for Communications With the Public
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| Notice To Members 93-17 | SEC Approves Changes To Uniform Practice Code Establishing Close-Out Procedures for Fails
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| Notice To Members 93-16 | SEC Approves Code of Procedure Amendments That Permit the NASD to Institute Summary Revocation Proceedings For Failing to Pay an Arbitration Award
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| Notice To Members 93-15 | Mail Vote — Proposed Amendments to Articles VII and XII of the NASD By-Laws and Article III of The NASD Rules of Fair Practice to Make All Rule Approval Procedures Under the By-Laws Uniform;
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| Notice To Members 93-9 | SEC Approves Amendments to NASD<sup>®</sup> Rules Governing Transaction Reporting
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| Notice To Members 93-8 | SEC Approval of Amendment Relating To the Payment of Gratuities or Anything Of Value by Members To Others
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| Notice To Members 93-14 | Nasdaq National Market(r) Additions, Changes, And Deletions as of January 21, 1993
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| Notice To Members 93-13 | Market-Maker Display of Size in Nasdaq Small-Cap Market<sup>SM</sup> Securities
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