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 93-12 | Questions and Answers About New NASD<sup>®</sup> Rules Governing Investment Company Sales Charges — Article III, Sections 26(b) and (d) of the Rules of Fair Practice
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| Notice To Members 93-11 | SEC Grants OTC Bulletin Board<sup>®</sup> Interim Designation As a "Qualifying Electronic Quotation System"
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| Notice To Members 93-10 | Request for Comments On Proposed Amendment to the Corporate Financing Rule Relating to the Fairness And Reasonableness of Underwriter Warrant's Anti-Dilution Provisions
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| For Your Information - January 1993 | For Your Information
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| Notice To Members 93-7 | Nasdaq National Market Additions, Changes, And Deletions As of December 21, 1992
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| Notice To Members 93-6 | Presidents' Day — Trade Date-Settlement Date Schedule
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| Notice To Members 93-5 | Annual Check List of NASD Notices to Members
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| Notice To Members 93-4 | 1993 Renewal Rosters And Final Adjusted Invoices
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| Notice To Members 93-3 | SEC Approval of Amendments to Branch-Office Fees
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| Notice To Members 93-2 | Market-Maker Obligations With Regard to Display of Size in Quotations
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| Notice To Members 93-1 | SEC Approval of Amendment to Article III, Section 15 of the NASD® Rules of Fair Practice; Effective December 3, 1992
Effective December 3, 1992
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| Notice To Members 92-72 | SEC Adopts Significant Amendments to the Net Capital Rule, Proposes Others for Public Comment
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| Notice To Members 92-71 | Nasdaq National Market® Additions, Changes, and Deletions as of November 20, 1992
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| Notice To Members 92-70 | Trade Date-Settlement Date Schedule for 1993
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| Notice To Members 92-69 | NASD 1993 Holiday Schedule
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| Notice To Members 92-68 | Federal and State Legislative Update
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| Notice To Members 92-67 | NASD® Responds to SEC's Market 2000 Concept Release
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| Notice To Members 92-66 | Quotation and Trade-Reporting Requirements for Members Dealing in High-Yield Bonds
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| Notice To Members 92-65 | SEC Approval of Amendments Concerning the Exclusion of Class-Action Matters From Arbitration Proceedings and Requiring That Predispute Arbitration Agreements Include a Notice That Class-Action Matters May Not Be Arbitrated
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| Notice To Members 92-64 | Nasdaq National Market Additions, Changes, and Deletions as of October 26, 1992
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| Notice To Members 92-63 | Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-62 | SOES Tier Levels to Change for 538 Issues on December 1, 1992
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| Notice To Members 92-61 | Revised Form BD Goes Into Effect November 16, 1992
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| Notice To Members 92-60 | SEC Approval of Amendments Relating to Periodic Account Statements
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| Notice To Members 92-59 | SEC Approval of Amendments Requiring Prefiling of Advertisements for Collateralized Mortgage Obligations
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| Notice To Members 92-58 | SEC Approval of Amendment to Section 13, Schedule E to the NASD By-Laws Effective October 1, 1992
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| Notice To Members 92-57 | Proposed Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Voting Date: December 21, 1992
Last Voting Date: December 21, 1992
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| Notice To Members 92-56 | Proposed Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) and Proposed Amendments to Article III, Section 35 of the Rules of Fair Practice to Incorporate Items From
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| Notice To Members 92-55 | Nasdaq National Market Additions, Changes, and Deletions as of September 25, 1992
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| Notice To Members 92-54 | Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-53 | Underwriting Compensation Received by Members in Public Corporate Equity Offerings
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| Notice To Members 92-52 | Broker/Dealer and Agent Renewals for 1992-93
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| Notice To Members 92-51 | SEC Approval of Amendments Relating to "When, as and if Issued" and "When, As and if Distributed" Contracts; Effective November 2, 1992
Effective November 2, 1992
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| Notice To Members 92-50 | Procedures Regarding Securities and Exchange Commission Rule 15c2-11 and Schedule H, Section 4 of the NASD® By-Laws
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| Notice To Members 92-49 | Nasdaq National Market Additions, Changes, and Deletions as of August 25, 1992
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| Notice To Members 92-48 | Columbus Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-47 | The Role of the NASD's Standing Committees
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| Notice To Members 92-46 | Nasdaq National Market Additions, Changes, and Deletions as of July 28, 1992
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| Notice To Members 92-45 | SEC Adopts Temporary Risk Assessment Rules
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| Notice To Members 92-44 | Appointment of a SIPC Trustee for Two Firms
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