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 91-10 | Revised Entry and Annual Fees for Nasdaq Issuers — Approval of Amendments to Schedule D
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| For Your Information - January 1991 | For Your Information
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| Notice To Members 91-8 | Annual Check List of NASD Notices to Members
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| Notice To Members 91-7 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of December 12, 1990
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| Notice To Members 91-6 | Trade Date-Settlement Date Schedule for 1991
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| Notice To Members 91-5 | NASD 1991 Holiday Schedule
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| Notice To Members 91-4 | 1991 Renewal Rosters and Final Adjusted Invoices
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| Notice To Members 91-3 | Implementation of Matching Service in SOES Limit-Order File
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| Notice To Members 91-2 | Request for Comments From Members, Issuers, and Investors on Nasdaq Short-Sale Rule; Last Date for Comments: March 1, 1991
Last Date for Comments: March 1, 1991
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| Notice To Members 91-1 | Proposed Amendments to the NASD Rules of Fair Practice Relating to Options Communications; Last Voting Date: February 4, 1991
Last Voting Date: February 4, 1991
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| Notice To Members 90-85 | SIPC Trustee Appointed for Carolina First Securities Group
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| Notice To Members 90-84 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of November 13, 1990
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| Notice To Members 90-83 | Christmas Day and New Year's Day - Trade Date-Settlement Date Schedule
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| Notice To Members 90-82 | Inclusion of Non-SRO Arbitration Forum as an Alternative Forum in Predispute Arbitration Agreements.
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| Notice To Members 90-81 | Amendments to the Code of Procedure to Change the Disciplinary Process and Provide That Decisions of the National Business Conduct Committee Are Final Actions of the NASD
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| Notice To Members 90-80 | SEC Approval of Risk Management Functions of the Automated Confirmation Transaction Service
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| Notice To Members 90-79 | Receipt of Differential Compensation for Soliciting Proxies in Partnership Roll-Ups; Last Date for Comments: January 15, 1991
Last Date for Comments: January 15, 1991
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| Notice To Members 90-78 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of October 11, 1990
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| Notice To Members 90-77 | Thanksgiving Day -Trade Date-Settlement Date Schedule
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| Notice To Members 90-76 | Broker-Dealer and Agent Renewals for 1991
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| Notice To Members 90-75 | New Requirement for Market Makers to Display Size in Quotations
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| Notice To Members 90-74 | Proposed Amendment to Article IV, Section 1 of the NASD Rules of Fair Practice Re: the Suspension of the Membership of Any Member or of the Registration of a Person Associated With a Member for a Definite Period Assessed As a Penalty For a Rule Violation;
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| Notice To Members 90-73 | Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member; Last Voting Date: December 5, 1990
Last Voting Date: December 5, 1990
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| Notice To Members 90-72 | SIPC Trustee Appointed for DFW Clearing, Inc.
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| Notice To Members 90-71 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of September 13, 1990
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| Notice To Members 90-70 | Veteran's Day - Trade Date-Settlement Date Schedule
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| Notice To Members 90-69 | Amendment to Schedule C of the NASD By-Laws Regarding Use of the Modified General Securities Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom, Effective Immediately
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| Notice To Members 90-68 | Amendment to Schedule C of the NASD By-Laws Regarding Requalification by Examination For Persons Whose Registration Has Been Revoked, Effective October 1, 1990
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| Notice To Members 90-67 | SOES Tier Levels to Change for 450 Issues on October 15, 1990
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| Notice To Members 90-66 | Proposed Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital
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| Notice To Members 90-65 | Suggested Customer Suitability Statement and Agreement to Purchase Form for Members' Compliance With SEC Rule 15c2-6
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| Notice To Members 90-64 | Amendments to the NASD By-Laws and to Schedule B Thereof to Modify the Size and Composition of the Board of Governors and the Number and Configuration of the Districts, Effective September 4, 1990
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| Notice To Members 90-63 | Amendment to Proposed Rule Re: Disclosure of Payment for Order Flow Practices On Customer Confirmations; Last Voting Date: November 5, 1990
Last Voting Date: November 5, 1990
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| Notice To Members 90-62 | Proposed Amendment Re: Use and Disclosure of Member Names; Last Voting Date: November 5, 1990
Last Voting Date: November 5, 1990
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| Notice To Members 90-61 | Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 and Article V, Sections 1 and 3 of the NASD Rules of Fair Practice Re: Retention of Jurisdiction Over Member Firms and Associa
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| Notice To Members 90-60 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of August 13, 1990
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| Notice To Members 90-59 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 90-58 | Clarification of Schedule H Reporting Requirements
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| Notice To Members 90-57 | Implementation of Amendment to Rules of Practice and Procedures for the Small Order Execution System Re: Market Makers' Entry of Agency Orders into SOES, Effective July 27, 1990
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| Notice To Members 90-56 | Proposed Amendments to Subsections (b) "Definitions" and (d) ("Sales Charge Rule") of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation By the NASD of Mutual Fund Asset-Based Sales Charges; Last Voting
Last Voting
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