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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 04-02
2004 Renewal Reports and Final Renewal Statements
Notice to Members 04-01
NASD Provides Additional Information Regarding Options Exemption for the Trading Activity Fee
Notice to Members FYI December 2003
For Your Information
Notice to Members 03-81
Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
Notice to Members 03-80
NASDAQ Announces New Service Termination Policy
Notice to Members 03-79
SEC Approves New Rule 2790 (Restrictions on the Purchase and Sale of IPOs of Equity Securities)
Replaces Free-Riding and Withholding Interpretation
Notice to Members 03-78
2004 Trade Date — Settlement Date Schedule (Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005))

Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005).

Notice to Members 03-77
NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
Notice to Members 03-76
Access to Information Available Under Interpretive Material 8310-2
Notice to Members 03-75
NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on December 2)

A proxy package was sent to each NASD Executive Representative on December 2.

Notice to Members 03-74
Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
Notice to Members 03-73
NASD Announces Online Availabilty of Comments
Notice to Members 03-72
Request for Comment on Regulatory Approaches to Enhance IPO Pricing Transparency (Note: The comment period has been extended to January 23, 2004)

Note: The comment period has been extended to January 23, 2004.

Notice to Members 03-71
NASD Reminds Members of Obligations When Selling Non-Conventional Investments
Notice to Members 03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Notice to Members 03-69
SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
Notice to Members 03-68
NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
Notice to Members 03-67
SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
Notice to Members 03-66
SEC Approves Proposed Changes to NASD Rule 2520

Approves Proposed Changes to NASD Rule 2520

Notice to Members 03-65
NASD Revises NASD Sanction Guidelines
Notice to Members 03-63
SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
Notice to Members 03-64
New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
Notice to Members 03-62
SEC Approves NASD Rule Proposal To Govern Lending Between Registered Persons and Customers
Notice to Members 03-61
Broker/Dealer, Registered Representative, Investment Adviser Firm, and Investment Adviser Representative Renewals for 2004
Notice to Members 03-59
Due to a change in our publishing schedule, there is no Notice numbered 03-59
Notice to Members 03-37
New Series 23 Examination
Notice to Members FYI April 2003
For Your Information
Notice to Members 03-20
Technical Changes to the NASD Registration Rules
Notice to Members FYI March 2003
For Your Information
Notice to Members 02-85
NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
Notice to Members FYI December 2002
For Your Information
Notice to Members 02-84
2003 Trade Date — Settlement Date Schedule
Notice to Members 02-80
Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
Notice to Members FYI November 2002
For Your Information
Notice to Members 02-79
NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on November 4)

A proxy package was sent to each NASD Executive Representative on November 4.

Notice to Members 02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures
Notice to Members FYI October 2002
For Your Information
Notice to Members FYI August 2002
For Your Information
Notice to Members 02-50
Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements
Notice to Members FYI July 2002
For Your Information
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