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.
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| Notice To Members 88-50 | Registration of Persons Soliciting on Behalf of Members Under Schedule C of the NASD By-Laws.
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| Notice To Members 88-49 | By-Law Amendment: Prohibition of Concurrent Registration Under Schedule C; Last Date for Comment: August 1, 1988
Last Date for Comment: August 1, 1988
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| Notice To Members 88-48 | Proposed By-Laws Amendment Concerning Filling Vacancies on District Committees - Last Date for Comment: August 1, 1988
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| Notice To Members 88-47 | Proposed Amendment: Short Sales-Last Date for Comment: August 1, 1988
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| Notice To Members 88-46 | Adoption of Rule Amendment to Authorize Trading Halts in NASDAQ Securities.
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| Notice To Members 88-45 | Proposed New Rule: Outside Business Activities-Last Voting Date: August 1, 1988
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| Notice To Members 88-44 | Proposed Rule Amendments: Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office" Conforming Amendment To By-Laws-Last Voting Date: August 1, 1988
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| Notice To Members 88-43 | Adoption of Amendments to the Rules of Practice and Procedures for the NASD Small Order Execution System and to Schedule D to the NASD By-Laws, Effective June 30, 1988
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| Notice To Members 88-42 | NASDAQ National Market System Advances to 2,954 Securities With 14 Additions on June 21, 1988
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| Notice To Members 88-41 | Independence Day Trade Date-Settlement Date Schedule
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| Notice To Members 88-40 | Adoption of New Schedule H to the NASD By-Laws and Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice.
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| Notice To Members 88-39 | NASDAQ National Market System Totals 2,950 Securities With 10 Additions on June 7, 1988
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| Notice To Members 88-38 | SEC Approves New Category of Limited Representative Registration — Corporate Securities Examination (Series 62); Study Outline Available
Study Outline Available
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| Notice To Members 88-37 | Operations Officer, Cashier, Fail-Control Department
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| Notice To Members 88-36 | Memorial Day Trade Date-Settlement Date Schedule
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| Notice To Members 88-35 | NASDAQ National Market System Totals 2,945 Securities With Seven Additions on May 17, 1988
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| Notice To Members 88-34 | Adoption of New Section 67 of the NASD Uniform Practice Code Regarding Delayed Closings Effective June 12, 1988
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| Notice To Members 88-33 | Adoption of Amendments to Schedule E to the NASD By-Laws Effective Immediately
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| Notice To Members 88-32 | Amendment to the NASD Board of Governors' Corporate Financing Interpretation Regarding Public Offerings When Proceeds Are Directed to NASD Members
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| Notice To Members 88-31 | Proposed Amendments to Article V, Section 1 of the NASD Rules of Fair Practice and Section 12(2) of the Proposed Government Securities Rules: Removal of Fine Limitations
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| Notice To Members 88-30 | NASDAQ National Market System Totals 2,976 Securities With Two Additions on May 3, 1988
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| Notice To Members 88-29 | Proposed New Section 3 to Article VII and Amendment to Article XI, Section 4 of the NASD By-Laws Concerning Emergency Authority of the NASD Board of Governors
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| Notice To Members 88-28 | Quarterly Check List of NASD Notices to Members
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| Notice To Members 88-27 | NASDAQ National Market System Totals 2,994 Securities With 11 Additions on April 19, 1988
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| Notice To Members 88-26 | Request for Comments on Proposed Amendments to Appendix A to Article III, Section 30 of the NASD Rules of Fair Practice
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| Notice To Members 88-25 | NASDAQ National Market System Totals 2,994 Securities With 13 Additions on April 5, 1988
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| Notice To Members 88-23 | Windsor Equity Corporation 330 S. Executive Drive Brookfield, Wisconsin 53005
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| Notice To Members 88-21 | Good Friday; Trade Date-Settlement Date Schedule
Trade Date-Settlement Date Schedule
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| Notice To Members 88-20 | Request for Comments on Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Investment Company Securities
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| Notice To Members 88-22 | NASDAQ National Market System Totals 2,996 Securities With 11 Additions on March 15, 1988
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| Notice To Members 88-19 | Proposed Amendment to Article VII of the NASD By-Laws Authorizing Mandatory Reporting of Trade Information
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| Notice To Members 88-18 | Extension of Comment Period: Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
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| Notice To Members 88-17 | Request for Comments on Proposed Amendments to NASD Rules of Fair Practice to Prohibit Non-Cash Compensation in Connection with Sales of Investment Company and Variable Contract Products
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| Notice To Members 88-16 | NASDAQ National Market System Totals 3,004 Securities With Six Additions on March 1, 1988
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| Notice To Members 88-15 | Amendment to Schedule A to the NASD By-Laws Concerning an Increased Application Fee for Member Firms With Statutorily Disqualified Individuals
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| Notice To Members 88-14 | Additional Arbitration Filing Fee and Advertising Service Charge
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| Notice To Members 88-13 | NASDAQ National Market System Totals 3,030 Securities With Nine Additions on February 16, 1988
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| Notice To Members 88-12 | Presidents' Day: Trade Date-Settlement Date Schedule
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| Notice To Members 88-11 | Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
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| Notice To Members 88-10 | Relocation of NASD New York Offices
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