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 87-57 | NASDAQ National Market System Grows to 3,039 Securities With 23 Additions on September 1, 1987
|
|
| Notice To Members 87-56 | Labor Day; Trade Date-Settlement Date Schedule
Trade Date-Settlement Date Schedule
|
|
| Notice To Members 87-55 | Amendments to NASD Code of Arbitration Procedure Effective July 1, 1987
|
|
| Notice To Members 87-54 | NASDAQ National Market System Grows to 3,018 Securities With 8 Additions on August 18, 1987
|
|
| Notice To Members 87-53 | Request for Comments on Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules
|
|
| Notice To Members 87-52 | Request for Comments on Proposed Amendment to the NASD Board of Governors' Corporate Financing Interpretation Concerning Public Offerings When Proceeds Are Directed to NASD Members
|
|
| Notice To Members 87-51 | Treasury Department Adopts Changes to the Requirements Concerning Financial Recordkeeping and Reporting of Currency and Foreign Transactions
|
|
| Notice To Members 87-50 | Amendments to SEC Rules 15c3-l, 17a-3, and 17a-13 Regarding Treatment of Repurchase and Reverse Repurchase Agreements
|
|
| Notice To Members 87-49 | New $ 10 NYSE Series 7 Development Fee to Begin in August
|
|
| Notice To Members 87-48 | NASDAQ National Market System Grows to 3,019 Securities With 30 Voluntary Additions on August 4, 1987, and One Mandatory Inclusion On August 4, 1987
|
|
| Notice To Members 87-47 | Request for Comments on a Proposed New Level of Registration, Designated Assistant Representative-Order Processing, Under Schedule C to the NASD By-Laws
|
|
| Notice To Members 87-46 | SEC Approval of NASD Corporate Governance Standards for NASDAQ/NMS Issuers and Amendments to Schedule D to the NASD By-Laws Concerning Designation of NASDAQ National Market System (NASDAQ/NMS) Securities
|
|
| Notice To Members 87-45 | NASDAQ National Market System Grows to 2,993 Securities With 20 Voluntary Additions on July 21, 1987
|
|
| Notice To Members 87-44 | Proposed Amendment to Article III, Section 26(m) of the NASD Rules of Fair Practice Governing Prompt Payment for Investment Company Shares
|
|
| Notice To Members 87-43 | Adoption of Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Regarding Advertising and Sales Literature for Direct Participation Programs
|
|
| Notice To Members 87-42 | NASDAQ National Market System Grows to 2,972 Securities With 29 Voluntary Additions on July 7, 1987
|
|
| Notice To Members 87-41 | Proposed Amendments to Definitions of "Branch Office" and "Office of Supervisory Jurisdiction" Under the NASD By-Laws, Schedule C to the By-Laws, and the Rules of Fair Practice
|
|
| Notice To Members 87-40 | Request for Comments on a Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
|
|
| Notice To Members 87-39 | Request for Comments on Addition of a Corporate Securities Limited Representative Category of Registration Under Schedule C to the NASD By-Laws
|
|
| Notice To Members 87-38 | Independence Day Trade Date-Settlement Date Schedule
|
|
| Notice To Members 87-37 | Proposed Amendment to Article I, Section (c) of the NASD By-Laws Relating to the Definition of the Term "Branch Office"
|
|
| Notice To Members 87-36 | Split Expiration of Index Options and Futures on June 19, 1987
|
|
| Notice To Members 87-35 | NASDAQ National Market System Grows to 2,940 Securities With 23 Voluntary Additions on June 16, 1987
|
|
| Notice To Members 87-31 | Mark-Ups and Mark-Downs on Zero-Coupon Securities
|
|
| Notice To Members 87-34 | NASDAQ National Market System Grows to 2,917 Securities With 28 Voluntary Additions on June 2, 1987
|
|
| Notice To Members 87-33 | Forms BD and U-4 Revisions, Government Securities Brokers and Dealers Registration Requirements
|
|
| Notice To Members 87-32 | Request for Comments on Shareholder Voting Rights Proposal For NASDAQ Companies
|
|
| Notice To Members 87-30 | NASDAQ National Market System Grows to 2,893 Securities With 21 Voluntary Additions on May 19, 1987
|
|
| Notice To Members 87-29 | NASDAQ/MSE: Unlisted Trading Privileges
|
|
| Notice To Members 87-28 | Memorial Day Trade Date-Settlement Date Schedule
|
|
| Notice To Members 87-27 | NASDAQ National Market System Grows to 2,873 Securities With 19 Voluntary Additions on May 5, 1987, and Four Mandatory Inclusions on May 12, 1987
|
|
| Notice To Members 87-26 | NASDAQ National Market System Grows to 2,850 Securities With 12 Voluntary Additions on April 21, 1987
|
|
| Notice To Members 87-25 | Request for Comments and Suggestions on Regulation of Market Making By Affiliates of Issuers
|
|
| Notice To Members 87-24 | Request for Comments on Proposed Amendments to Article III, Section 35 of the NASD Rules of Fair Practice
|
|
| Notice To Members 87-23 | Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
|
|
| Notice To Members 87-22 | Amendments to Resolution of the Board of Governors Concerning Its Policy on Publication of Disciplinary Actions
|
|
| Notice To Members 87-21 | NASDAQ National Market System Grows to 2,847 Securities With 37 Voluntary Additions on April 7, 1987
|
|
| Notice To Members 87-20 | Request for Comments on Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice
|
|
| Notice To Members 87-19 | Federal Regulation of Government Securities Brokers and Dealers Under the Government Securities Act of 1986
|
|
| Notice To Members 87-18 | Holiday Settlement Schedule
|