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 FYI October 2002 | For Your Information
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| Notice to Members FYI August 2002 | For Your Information
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| Notice to Members 02-50 | Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements
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| Notice to Members FYI July 2002 | For Your Information
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| Notice to Members FYI June 2002 | For Your Information
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| Notice to Members 02-32 | SEC Approves NASD Rule Requiring Members to Require Investors to Sign a Disclosure Document as Part of a Subordinated Loan Agreement
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| Notice to Members FYI May 2002 | For Your Information
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| Notice to Members 02-27 | Series 22, 27, 28, 39, 55, And 82 Modified
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| Notice to Members FYI March 2002 | For Your Information
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| Notice to Members FYI February 2002 | For Your Information
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| Notice to Members FYI December 2001 | For Your Information
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| Notice to Members FYI November 2001 | For Your Information
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| Notice to Members FYI September 2001 | For Your Information
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| Notice to Members FYI August 2001 | For Your Information
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| Notice to Members FYI July 2001 | For Your Information
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| Notice to Members FYI June 2001 | For Your Information
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| Notice to Members 01-39 | SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings
Related Qualification Examination (Series 82) Is Effective
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| Notice to Members 01-32 | Series 24, 26, And 62 Modified
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| Notice to Members FYI March 2001 | For Your Information
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| Notice to Members FYI February 2001 | For Your Information
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| Notice to Members 2000 | For Your Information
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| Notice to Members 2000 | For Your Information
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| Notice to Members 00-61 | NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
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| Notice to Members - FYI - August 2000 | For Your Information
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| Notice to Members 2000 | For Your Information
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| Notice to Members 00-46 | NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
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| Notice to Members 00-27 | Deadline Extended For Series 55 Equity Trader Examination To October 1, 2000
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| Notice to Members 2000 | For Your Information
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| Notice to Members 2000 | For Your Information
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| Notice to Members 2000 | For Your Information
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| Notice to Members - December 1999 | For Your Information
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| Notice to Members 99-100 | SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
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| Notice to Members - September 1999 | For Your Information
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| Notice to Members 99-77 | NASD Regulation Modifies Default Decision Procedures
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| Notice to Members 99-75 | Series 7 Examination Fee Increase Effective September 15, 1999
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| Notice to Members - August 1999 | For Your Information
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| Notice to Members - July 1999 | For Your Information
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| Notice to Members - June 1999 | For Your Information
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| Notice to Members - May 1999 | Year 2000 Update
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| Notice to Members - April 1999 | Year 2000 Update
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