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 89-23 | Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees Deadline for Voting: April 3, 1989
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| Notice To Members 89-22 | Proposed Amendment Re: Use and Disclosure of Member Names Last Voting Date: April 3, 1989
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| Notice To Members 89-21 | Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Voting Date: April 3, 1989
Last Voting Date: April 3, 1989
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| Notice To Members 89-20 | Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989
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| For Your Information - February 1989 | For Your Information (February)
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| Notice To Members 89-19 | NASDAQ National Market System Additions, Changes, and Deletions as of January 12, 1989
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| Notice To Members 89-18 | Presidents' Day: Trade Date-Settlement Date Schedule
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| Notice To Members 89-17 | Adoption of Rule Amendments Mandating the Automated Submission Of Trading Data Technical Specifications
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| Notice To Members 89-16 | Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs — Effective February 1, 1989
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| Notice To Members 89-15 | Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations — Effective December 20, 1988
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| Notice To Members 89-14 | SEC Approves Amendments to Rule 17f-1, Lost and Stolen Securities Program
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| Notice To Members 89-13 | Access to Disciplinary Information on Prospective Employees
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| Notice To Members 89-12 | Reporting Suspicious Currency and Other Questionable Transactions To the IRS/Customs Hotline
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| Notice To Members 89-11 | SEC Approval of Rule Amendment Requiring Filing of Advertising and Sales Literature for Investment Company Securities — Effective March 1, 1989
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| Notice To Members 89-9 | Trade Date-Settlement Date Schedule for 1989
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| Notice To Members 89-8 | NASD 1989 Holiday Schedule
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| Notice To Members 89-7 | 1989 Renewal Rosters and Final Adjusted Invoices
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| Notice To Members 89-6 | State Participation in CRD Form BD and BDW Processing
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| Notice To Members 89-5 | Insider Trading and Securities Fraud Enforcement Act of 1988
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| Notice To Members 89-4 | Proposed Mandatory Participation by Clearing Members in Reconfirmation and Pricing Services (RECAPS); Last Date for Comment: February 3, 1989
Last Date for Comment: February 3, 1989
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| Notice To Members 89-3 | Proposed Rule to Restrict Payment of Referral Fees by NASD Members; Last Date for Comments: February 3, 1989
Last Date for Comments: February 3, 1989
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| Notice To Members 89-2 | Proposed New Rule Regarding Business Conduct of Members; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
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| Notice To Members 89-10 | NASDAQ National Market System Additions, Changes, and Deletions As of December 13, 1988
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| Notice To Members 89-1 | Proposed By-Laws Amendment on Filling Vacancies on District Committees; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
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| For Your Information (January) | For Your Information (January)
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| Notice To Members 88-104 | Adoption of Rule Amendments Mandating the Automated Submission of Trading Data - Effective February 12, 1989
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| Notice To Members 88-103 | Adoption of Rule Amendments - Effective Immediately Professional Trading in SOES
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| Notice To Members 88-99 | Trade Date-Settlement Date Schedule: Christmas Day, New Year's Day, and Martin Luther King, Jr. Day
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| Notice To Members 88-98 | Proposed Amendment to Schedule E Re: Exemption From the Pricing Requirements For Shelf Offerings to Institutional Investors
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| Notice To Members 88-97 | Implementation of the Form U-4 Disclosure Reporting Page (DRP) Effective Immediately
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| Notice To Members 88-96 | SEC Approval of Amendments to NASD By-Laws and Rules of Fair Practice And New Government Securities Rules
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| Notice To Members 88-95 | SEC Approval of Amendment to NASD Rules of Fair Practice Re: Prompt Payment for Investment Company Shares — Effective Date: January 1, 1988
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| Notice To Members 88-102 | NASDAQ National Market System Additions as of November 21, 1988
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| Notice To Members 88-101 | Clarification of NASD Filing Requirements and Review Procedures for Offerings Made Pursuant to SEC Rule 415
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| Notice To Members 88-100 | Mergers by Members With Blind-Pool Companies
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| Notice To Members 88-94 | NASDAQ National Market System Additions as of October 18, 1988
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| Notice To Members 88-93 | SEC Approval of Amendment to Free-Riding Interpretation Concerning Sales to Investment Partnerships and Corporations
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| Notice To Members 88-92 | Proposed Corporate Financing Rule; Last Date for Comment: December 31, 1988
Last Date for Comment: December 31, 1988
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| Notice To Members 88-91 | Proposed Amendment to Article III, Section 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
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| Notice To Members 88-90 | Proposed Rule Amendment, By-Laws Amendments Under Schedule C Re: Training, Qualification, and Registration of Representatives and Principals; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
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