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 03-69 | SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
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Notice to Members 03-68 | NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
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Notice to Members 03-67 | SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
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Notice to Members 03-66 | SEC Approves Proposed Changes to NASD Rule 2520
Approves Proposed Changes to NASD Rule 2520 |
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Notice to Members 03-65 | NASD Revises NASD Sanction Guidelines
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Notice to Members 03-63 | SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
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Notice to Members 03-64 | New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
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Notice to Members 03-60 | Nominees for NASD Board of Governors
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Notice to Members 03-62 | SEC Approves NASD Rule Proposal To Govern Lending Between Registered Persons and Customers
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Notice to Members 03-61 | Broker/Dealer, Registered Representative, Investment Adviser Firm, and Investment Adviser Representative Renewals for 2004
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Notice to Members 03-59 | Due to a change in our publishing schedule, there is no Notice numbered 03-59
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Notice to Members 03-58 | NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
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Notice to Members 03-57 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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Notice to Members 03-56 | Rule Amendments to Require Member Applicants to File Forms U4 Electronically
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Notice to Members 03-55 | SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs) (See Nasdaq Head Trader Alert 2003-140)
The effective date of the amendments to ECN Trade Reporting Rules has been delayed until Monday, November 10, 2003. In addition, minor amendments to the Rules have been filed with the SEC on an immediately effective basis, and a new NTM reflecting these amendments will be available shortly. See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm. |
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Notice to Members 03-53 | SEC Announces Immediate Effectiveness of Amendments to Non-Cash Compensation Provisions of Rule 2710 and Rule 2810
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Notice to Members 03-54 | NASD Requests Comment on Proposed Amendments to Rule 2830 (Investment Company Securities)
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Notice to Members 03-52 | Nominees for District Committee and District Nominating Committee
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Notice to Members 03-51 | Amendments to Article VIII of the By-Laws of NASD Regulation, Inc., Regarding District Committees and District Nominating Committees
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Notice to Members 03-50 | NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
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Notice to Members 03-49 | Amendments to Rule 3010 to Require Heightened Supervision Plans for Associated Persons with a Specified Threshold of Industry/Regulatory-Related Events (Note: The comment period has been extended to October 31, 2003)
Note: The comment period has been extended to October 31, 2003. |
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Notice to Members 03-48 | SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
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Notice to Members 03-47 | Refunds to Customers Who Did Not Receive Appropriate Breakpoint Discounts in Connection with the Purchase of Class A Shares of Front-End Load Mutual Funds and the Capital Treatment of Refund Liability
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Notice to Members 03-46 | Amendments Relating to Requests for Underwriting Activity Reports
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Notice to Members 03-45 | SEC Approves Amendments to TRACE Rule 6260 to Require New Issue Notifications to Include Dissemination Eligibility Information and Be Submitted in Writing
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Notice to Members 03-44 | SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of Interest
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Notice to Members 03-43 | SEC Approves Increase to the Trading Activity Fee
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Notice to Members 03-42 | SEC Approves Proposed Changes to Forms U4 and U5
Implementation Date: July 14, 2003
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Notice to Members 03-41 | NASD Has Amended Section 4(b) of Schedule A to the NASD By-Laws to Increase and Establish New Fingerprint Processing Fees
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Notice to Members 03-39 | of the First Phase of Electronic Fingerprint Processing in July 2003 and Amends Section 4 of Schedule A to the NASD By-Law to Increase and Establish New Fingerprint Processing Fees (This Notice was withdrawn on 07/09/03)
This Notice was withdrawn on 07/09/03. |
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Notice to Members 03-40 | The Regulatory Element Continuing Education Supervisors Program (S201) to be available July 14, 2003, at Pearson VUE centers in London and Paris
the S201 is available now for members that provide In-Firm Delivery of the Regulatory Element.
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Notice to Members 03-38 | SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
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Notice to Members 03-37 | New Series 23 Examination
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Notice to Members 03-36 | SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes
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Notice to Members 03-35 | SEC Approves NASD Rule Change Giving NASD Authority to Issue and Enforce Temporary Cease and Desist Orders
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Notice to Members 03-34 | Treasury and SEC Issue Final Rule Regarding Customer Identification Programs for Broker/Dealers
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Notice to Members 03-33 | Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
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Notice to Members 03-32 | Clarification of NASD Establishment of Consultative Committees
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Notice to Members 03-31 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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Notice to Members 03-30 | SEC Approves Revisions to NASD By-Laws Regarding Trading Activity Fee
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