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 05-09 | NASD Amends Rule Governing Predispute Arbitration with Customers (The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005.)
The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf |
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Notice to Members 05-08 | Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including Members' Institutional Securities Activities
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Notice to Members 05-07 | SEC Approves Amendments to Rule 2212 Concerning Frequency of Updates From the National Do-Not-Call Registry
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Notice to Members 05-06 | Exemption for Delta Neutral Positions of OTC Derivatives Dealers
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Notice to Members 05-05 | NASD Eliminates the TRACE Bond Transaction Data Service (BTDS) Non-Professional Real-Time Data Display Fee and the BTDS Professional Delayed-Time Data Display Fee Pilot Program
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Notice to Members 05-04 | SEC Approves Amendments to NASD Rule 2830(k) to Strengthen Prohibitions on Investment Company Directed Brokerage Arrangements
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Notice to Members 05-03 | NASD Provides Updated Options Exemption Listing
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Notice to Members 05-02 | Stage Two of the Expansion of Dissemination of TRACE Transaction Data to Begin on February 7, 2005 Instead of February 1, 2005
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Notice to Members 05-01 | Final Renewal Statements and Reports
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For Your Information - December 2004 | For Your Information
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Notice to Members FYI December 2004 | For Your Information
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Notice to Members 04-95 | NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities
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Notice to Members 04-93 | Issues Relating to the SEC's Adoption of Regulation SHO
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Notice to Members 04-94 | Nominees for the District Committee for District 10
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Notice to Members 04-92 | Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD
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Notice to Members 04-91 | NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule
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Notice to Members 04-90 | NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
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Notice to Members 04-89 | NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
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Notice to Members 04-88 | NASD Notice of Meeting and Proxy
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Notice to Members 04-87 | 2005 Trade DateSettlement Date Schedule
This version corrects the Trade Dates and Settlement Dates for Columbus Day 2005. |
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Notice to Members 04-86 | SEC Approves NASD Interpretive Material to Rule 2210 Regarding Member Firms' Use of Investment Analysis Tools
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Notice to Members 04-85 | SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS
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Notice to Members 04-82 | NASD Announces Election Results for District Committees and District Nominating Committees
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Notice to Members 04-84 | SEC Approves Adjustments to the Trading Activity Fee
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Notice to Members 04-83 | NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)
Note: The comment period was extended to February 1, 2005. |
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Notice to Members 04-81 | SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts
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Notice to Members 04-80 | NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
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Notice to Members 04-79 | SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements
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Notice to Members 04-78 | SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
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Notice to Members 04-77 | SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
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Notice to Members 04-76 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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Notice to Members 04-75 | NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
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Notice to Members 04-74 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005
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Notice to Members 04-73 | Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees
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Notice to Members 04-70 | Nominees for NASD Board of Governors
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Notice to Members 04-72 | Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
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Notice to Members 04-71 | SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls
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Notice to Members 04-69 | Mandatory Use of Combined New Order/Route and Combined New Order/Execution Reports Delayed until April 4, 2005
Clarification of Combined Reporting Format Requirements for Related Order Information Submitted by Multiple Order Sending Organizations
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Notice to Members 04-68 | SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access
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Notice to Members 04-67 | Nominees for District Committee and District Nominating Committee
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