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 04-66 | NASD Reminds Member Firms of Their Obligations to Ensure the Accuracy and Integrity of Information Entered into Order-Routing and Execution Systems
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Notice to Members 04-65 | SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements
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Notice to Members 04-64 | SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete
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Notice to Members 04-63 | New SEC Procedures Relating to Section 31 of the Securities Exchange Act of 1934
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Notice to Members 04-62 | SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
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Notice to Members 04-61 | SEC Approves Amendments to Rule 10308 Regarding the Time for Chairperson Selection
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Notice to Members 04-60 | SEC Approves Increase to the Arbitrator Panel Training Fee
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Notice to Members 04-59 | SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council
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Notice to Members 04-58 | SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS) (This version was updated on 8/19/04)
This version was updated on 8/19/04. |
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Notice to Members 04-57 | NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
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Notice to Members 04-56 | SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
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Notice to Members 04-55 | NASD Requests Comment on a Proposed Uniform Branch Office Registration Form
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Notice to Members 04-54 | Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities Extended to September 24, 2004
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Notice to Members 04-52 | Guidance on the Requirements for Availability of the Bona Fide Fully Arbitraged Exemption
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Notice to Members 04-53 | SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
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Notice to Members 04-51 | SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005
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Notice to Members 04-50 | Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule) (The effective date has been delayed until 10/12/04)
The effective date has been delayed until Tuesday, October 12, 2004. |
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Notice to Members 04-49 | SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
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Notice to Members 04-48 | SEC Approves Amendments to Rule 6954 Requiring Members to Record and Report Execution Price and Firm Capacity in OATS Execution Reports
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Notice to Members 04-47 | Members' Obligations with Respect to the Transfer of Cost Basis Information
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Notice to Members 04-46 | Mandatory Changes to OATS New Order, Combined New Order/Route, and Combined New Order/Execution Reports
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Notice to Members 04-45 | NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities
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Notice to Members 04-42 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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Notice to Members 04-44 | Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
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Notice to Members 04-43 | Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
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Notice to Members 04-41 | NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
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Notice to Members 04-40 | NASD Clarifies ACT Short Sale Reporting Requirements
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Notice to Members 04-39 | SEC Approves Amendments to Clarify the Term "TRACE-Eligible Security" and to Expand the Scope of an Exemption from TRACE Reporting Requirements
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Notice to Members 04-38 | NASD Reminds Member Firms of Their Obligations to Adhere to Credit Extension Requirements and Day Trading Margin Rules
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Notice to Members 04-37 | SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
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Notice to Members 04-36 | SEC Approves NASD Proposed Rule 9550 Series on Expedited Proceedings
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Notice to Members 04-35 | NASD Reminds Member Firms of Their Obligations to File Certain Financial Reports
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Notice to Members 04-31 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
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Notice to Members 04-33 | Limited Net Capital Relief from the Reclassification of Certain Equity as Liabilities in Accordance with Statement of Financial Accounting Standards No. 150 (Action required by 05/10/04)
Action Required by May 10, 2004 |
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Notice to Members 04-29 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections (This version corrects certain administrative and other non-substantive text)
This version corrects certain administrative and other non-substantive text. |
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Notice to Members 04-32 | SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information
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Notice to Members 04-30 | NASD Reminds Firms of Sales Practice Obligations In Sale of Bonds and Bond Funds
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Notice to Members 04-28 | SEC Approves Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
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Notice to Members 04-27 | NASD Solicits Member Vote on Amendments to NASD By-Laws to Reconfigure NASD Board
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Notice to Members 04-34 | Due to a change in our publishing schedule, there is no Notice numbered 04-34
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