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 - January 1999 | Year 2000 Update
|
|
| Notice to Members - January 1999 | For Your Information
|
|
| Notice to Members December 1998 | Year 2000 Update
|
|
| Notice to Members FYI December 1998 | For Your Information
|
|
| Notice to Members November 1998 | Year 2000 Update
|
|
| Notice to Members November 1998 | Notice of Meeting and Proxy
|
|
| Notice to Members October 1998 | Year 2000 Update
|
|
| Notice to Members FYI October 1998 | For Your Information
|
|
| Notice to Members FYI September 1998 | For Your Information
|
|
| Notice to Members FYI August 1998 | For Your Information
|
|
| Notice to Members FYI July 1998 | For Your Information
|
|
| Notice to Members 98-60 | NASD Extends Filing Period For New Equity Trader Examination And Responds To Questions Regarding New Equity Trader Qualification Rule
|
|
| Notice to Members FYI June 1998 | For Your Information
|
|
| Notice to Members FYI May 1998 | For Your Information
|
|
| Notice to Members FYI April 1998 | For Your Information
|
|
| Notice to Members FYI March 1998 | For Your Information
|
|
| Notice to Members FYI February 1998 | For Your Information
|
|
| Notice to Members 98-17 | SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55)
|
|
| Notice to Members 98-16 | SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42)
|
|
| Notice to Members FYI January 1998 | For Your Information
|
|
| Notice to Members 98-03 | Electronic Delivery Of Information Between Members And Their Customers
|
|
| Notice to Members 98-02 | SEC Approves Amendments To Rule 1010, 8000, And 9000 Series To Reflect Changes In NASD Corporate Organization
|
|
| Notice to Members 98-01 | Arbitration Process Fees
|
|
| Notice to Members December 1997 Survey | Survey
|
|
| Notice to Members FYI December 1997 | For Your Information
|
|
| Notice to Members FYI November 1997 | For Your Information
|
|
| Notice to Members FYI October 1997 | For Your Information
|
|
| Notice to Members 97-69 | No Notice has been designated as 97-69
|
|
| Notice to Members FYI September 1997 | For Your Information
|
|
| Notice to Members FYI August 1997 | For Your Information
|
|
| Notice to Members 97-55 | New Membership Application Rules, New Code Of Procedure, And Other New Disciplinary Rules
|
|
| Notice to Members FYI June 1997 | For Your Information
|
|
| Notice to Members FYI May 1997 | For Your Information
|
|
| Notice to Members FYI March 1997 | For Your Information
|
|
| Notice to Members FYI February 1997 | For Your Information
|
|
| Notice to Members FYI January 1997 | For Your Information
|
|
| Notice to Members FYI December 1996 | December FYI
|
|
| Notice to Members 96-09 | SEC Approves NASD Proposal Relating To Third-Market Trading In IPOs Of Exchange-Listed Securities
|
|
| Continuing Education Program Update: Regulatory Element Questions And Answers | Continuing Education Program Update: Regulatory Element Questions And Answers
|
|
| Notices |