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 |
|---|---|---|
| Notice To Members 90-14 | Proposed Amendments to Article III, Section 35 of NASD's Rules of Fair Parctice Re: Communications With the Public; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-13 | Proposed Technical Amendment to Pending Prompt Receipt Rule; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-12 | Proposed Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-11 | Proposed Amendment Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-10 | Proposed Corporate Financing Rule; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-9 | Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Begins March 1, 1990
|
|
| Notice To Members 90-8 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of January 11, 1990
|
|
| Notice To Members 90-7 | Presidents' Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 90-6 | Annual Check List of NASD Notices to Members
|
|
| Notice To Members 90-5 | NASDAQ National Market Additions, Changes, and Deletions As of December 12, 1989
|
|
| Notice To Members 90-4 | Trade Date-Settlement Date Schedule for 1990
|
|
| Notice To Members 90-3 | Registration Renewal Rosters and Final Adjusted Invoices
|
|
| Notice To Members 90-2 | Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons
|
|
| Notice To Members 90-1 | Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration
|
|
| Notice To Members 89-81 | NASDAQ National Market Additions, Changes, and Deletions As of November 13, 1989
|
|
| Notice To Members 89-80 | Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 89-79 | NASD 1990 Holiday Schedule
|
|
| Notice To Members 89-78 | Availability of Two New NASD Categories of Registration and Qualification Examinations
|
|
| Notice To Members 89-77 | Proposed Amendments to Article III, Section 12 of the NASD Rules of Fair Practice Re: Disclosure on Confirmations When Investment Companies Impose a Deferred Sales Charge on Redemption; Last Date For Comment: January 2, 1990
Last Date For Comment: January 2, 1990
|
|
| Notice To Members 89-76 | Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Set for First Quarter 1990
|
|
| For Your Information - November 1989 | For Your Information (November)
|
|
| Notice To Members 89-75 | NASDAQ National Market Additions, Changes, and Deletions as of October 12, 1989
|
|
| Notice To Members 89-74 | Thanksgiving Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 89-73 | Revisions to Certain NASD Qualification Examinations
|
|
| Notice To Members 89-72 | Broker-Dealer and Agent Renewals for 1989-90
|
|
| Notice To Members 89-71 | SEC Approval of Amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice on Notice to Membership of Disciplinary Actions, Publication of <em>Sanctions, and Availability of NASD Manual</em> — Effective September 19, 1989
|
|
| Notice To Members 89-70 | Automated Submission of Trading Data
|
|
| Notice To Members 89-69 | SEC Proposes Significant Amendments to the Net Capital Rule; Last Date for Comments: December 18, 1989
Last Date for Comments: December 18, 1989
|
|
| For Your Information - October 1989 | For Your Information (October)
|
|
| Notice To Members 89-68 | Nasdaq National Market Additions, Changes, and Deletions as of September 14, 1989
|
|
| Notice To Members 89-67 | SOES Tier Levels to Change for 521 Issues on October 9, 1989
|
|
| Notice To Members 89-66 | Size of "Normal" Unit of Trading For NASDAQ-Listed Debentures
|
|
| Notice To Members 89-65 | SEC Adoption of Rule 15c2-6 Re: Sales Practice and Suitability Requirements for Certain Low-Priced Securities
|
|
| Notice To Members 89-64 | SEC Approval of Rule of Fair Practice Amendment Re: The Conduct of Accounts Engaged in Uncovered Short Option Transactions
|
|
| For Your Information - September 1989 | For Your Information
|
|
| Notice To Members 89-63 | NASDAQ National Market Additions, Changes, and Deletions as of August 11, 1989
|
|
| Notice To Members 89-62 | Columbus Day Trade Date-Settlement Date Schedule
|
|
| Notice To Members 89-61 | NASDAQ National Market Additions, Changes, and Deletions as of July 12, 1989
|
|
| Notice To Members 89-60 | Labor Day Trade Date-Settlement Date Schedule
|
|
| Notice To Members 89-59 | Report on Group of Thirty Recommendations Regarding Clearance and Settlement and Request for Comments
|