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 05-49 | NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
|
|
Notice to Members 05-48 | Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
|
|
Notice to Members 05-47 | Unexpected Close of Securities Markets
|
|
Notice to Members 05-46 | SEC Approves Amendments Relating to Taping Rule "Opt Out" and Exemption Provisions
|
|
Notice to Members 05-45 | Agency Securities Lending Disclosure Initiative
|
|
Notice to Members 05-43 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
|
|
Notice to Members 05-44 | SEC Approves Amendments Relating to Annual Compliance Meetings
|
|
Notice to Members 05-42 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
|
|
Notice to Members 05-41 | Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.1
|
|
Notice to Members 05-39 | NASD Suggests Best Practices for Fingerprinting Procedures
|
|
Notice to Members 05-38 | NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts
Immediate Action May Be Required to Ensure Compliance
|
|
Notice to Members 05-37 | NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data
|
|
Notice to Members 05-40 | NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities Comment Period Expired August 5, 2005
|
|
Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
|
|
Notice to Members 05-35 | SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
|
|
Notice to Members 05-34 | Prohibit Research Analysts from Participating in a Road Show and from Communicating with Customers in the Presence of Investment Banking Personnel or Company Management about an Investment Banking Services Transaction
|
|
Notice to Members 05-33 | Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO
|
|
Notice to Members 05-32 | SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
|
|
Notice to Members 05-31 | Pilot Program to Increase Position and Exercise Limits for Equity Options and New Reverse Collar Strategy Added to Equity Option Hedge Exemptions
|
|
Notice to Members 05-30 | SEC Approves New Alternative Display Facility (ADF) Pilot Rule Giving NASD Authority to Receive and Review Complaints Alleging Denial of Access to an ADF Market Participant Quote
|
|
Notice to Members 05-29 | Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
|
|
Notice to Members 05-28 | NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports
|
|
Notice to Members 05-27 | NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period (Comment Period Expired May 27, 2005)
|
|
Notice to Members 05-26 | NASD Recommends Best Practices for Reviewing New Products
|
|
Notice to Members 05-25 | NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements (Comment Period Expired May 20, 2005)
|
|
Notice to Members 05-24 | NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports
|
|
Notice to Members 05-23 | NASD Issues Further Guidance on the Trading Activity Fee
|
|
Notice to Members 05-22 | New Electronic Reporting Requirements for Large Options Positions Reports for Filing of Reportable Conventional Options Positions
Effective Date Extended to July 11, 2005. |
|
Notice to Members 05-21 | NASD Requests Comment on Proposed Rule Requiring Members to Provide Additional Disclosures for Transactions in Debt Securities
|
|
Notice to Members 05-20 | NASD Announces Effective Date of April 4, 2005 for Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
|
|
Notice to Members 05-19 | Revisions to the Series 11 and 55 Examination Programs
|
|
Notice to Members 05-18 | NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
|
|
Notice to Members 05-17 | NASD Adopts New Sanction Guidelines
|
|
Notice to Members 05-16 | NASD Announces Election Results for the District Committee for District 10
|
|
Notice to Members 05-15 | NASD Announces Election Results for the District Committee for District 1
|
|
Notice to Members 05-14 | NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
|
|
Notice to Members 05-13 | NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
|
|
Notice to Members 05-12 | SEC Approves Amendments to Rule 9522 Regarding Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
|
|
Notice to Members 05-11 | NASD Issues Further Guidance Regarding Members' Obligations under Section 3 of Schedule A to the NASD By-Laws
NASD Also Seeks Member Comment on Related Automation Issues; (Comment Period Expired March 30, 2005)
|
|
Notice to Members 05-10 | NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
|