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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For Your Information - October 2002 | For Your Information (November)
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Notice to Members FYI November 2002 | For Your Information
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Notice to Members 02-79 | NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on November 4)
A proxy package was sent to each NASD Executive Representative on November 4. |
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Notice to Members 02-78 | NASD Adopts Amendments to Rule 3011 to Require Members to Provide to NASD Contact Information for an Anti-Money Laundering Compliance Person(s)
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Notice to Members 02-77 | SEC Approves Rule Establishing New Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
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Notice to Members 02-76 | NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
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Notice to Members 02-75 | NASD Provides Additional Information on the Trading Activity Fee
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Notice to Members 02-74 | NASD Requests Comment on its Public Information Review Initiative
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Notice to Members 02-73 | SEC Approves New Rules and Rule Amendments Concerning Security Futures
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For Your Information - October 2002 | For Your Information (October)
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Notice to Members FYI October 2002 | For Your Information
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Notice to Members 02-72 | Veterans' Day and Thanksgiving Day
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Notice to Members 02-71 | NASDAQ Provides Guidance on Recent Amendments to "Trade-or-Move" Rule and SuperMontage Opening Process
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Notice to Members 02-70 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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Notice to Members 02-69 | Clarification of Member Obligations Regarding Brokered Certificates of Deposit
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Notice to Members 02-68 | in California arbitration proceedings must waive contested California arbitrator disclosure standards if all parties who are investors, or associated persons with claims of statutory employment discrimination, have executed waiver agreements
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Notice to Members 02-67 | Broker/Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2003
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Notice to Members 02-66 | SEC Approves NASD Rule 2315
Recommendations to Customers in OTC Equity Securities
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Notice to Members 02-65 | Nominees for District Committee and District Nominating Committee
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Notice to Members 02-64 | NASD Advises Members that Participation in Tying Arrangements that Violate Federal Statutes Also Violate Just and Equitable Principles of Trade
Requests Information Concerning Such Practices
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Notice to Members 02-63 | NASD Provides Additional Information on Amendments to Section 8 of Schedule A to NASD's By-Laws to Eliminate the Regulatory Fee and to Implement a New Transaction-Based Trading Activity Fee as Announced in Notice to Members 02-41
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Notice to Members 02-62 | NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory council
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Notice to Members 02-61 | SEC Approves Proposed Changes to the Taping Rule and NASD Interpretive Material 8310-2
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Notice to Members 02-60 | Columbus Day
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Notice to Members 02-59 | SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
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Notice to Members 02-58 | SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims
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Notice to Members 02-57 | Use of Negative Response Letters for the Bulk Transfer of Customer Accounts
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Notice to Members 02-56 | Nominees for NASD Board of Governors
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Notice to Members 02-55 | NASD Requests Comment on Proposed New Rule 2712 (IPO Allocations and Distributions) and on an Amendment to Rule 2710 (Corporate Financing Rule)
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Notice to Members 02-54 | NASD Requests Comment on Proposed Amendments to Rules 1014 and 1017
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Notice to Members 02-53 | NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD
Revises Letters Sent When Determination Made to Close an Investigation Without Further Action
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Notice to Members 02-52 | NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition")
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For Your Information - August 2002 | For Your Information (August)
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Notice to Members FYI August 2002 | For Your Information
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Notice to Members 02-51 | NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools.
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Notice to Members 02-50 | Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements
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Notice to Members 02-49 | NASD Adopts Amendments to IM-8310-2 Concerning Release of Disciplinary Information to the Public
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Notice to Members 02-48 | NASD Amends Section 4 of Schedule A to the NASD By-Laws to Establish a Late Fee for Failure to Pay Annual Renewal Fees on a Timely Basis
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Notice to Members 02-47 | Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers
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Notice to Members 02-46 | NASD Announces Nomination Procedures for Regional Industry Member Vacancy on the National Adjudicatory Council
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