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 00-53 | NASD Adopts Exemption From The Corporate Financing Rule For Interval Funds
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Notice to Members 00-52 | NASD And Exchanges Submit Decimalization Plan To The SEC
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Notice to Members 00-51 | SEC Approves Proposed Rule Change Relating To Margin For Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control And Restricted Securities, And Options Transactions
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Notice to Members 00-50 | Withdrawal Of Proposed Rule And Reminder Of Restrictions On Use Of Unregistered Persons
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For Your Information - July 2000 | For Your Information (July)
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Notice to Members 2000 | For Your Information
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Notice to Members 00-49 | SEC Issues Staff Interpretation On The "Free Trading" Status Of Blank Check Company Securities Under Certain Scenarios
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Notice to Members 00-48 | NASD Adopts Rule Requiring Member Participation In Decimalization Testing
NASD Reminds Selected Members Of Survey Deadline: July 28, 2000
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Notice to Members 00-47 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 23, 2000
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Notice to Members 00-46 | NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
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Notice to Members 00-45 | NASD Announces Changes To SEC Rule 15c3-3 Extension Request Reason Codes (Correction: On p. 1, the 2nd para under Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, entry of Issue Symbol or CUSIP is required)
Correction - On page 1, the second paragraph under subhead Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, the entry of either Issue Symbol or CUSIP will be required. |
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Notice to Members 00-44 | The NASD Reminds Members Of Their Responsibilities Regarding The Sale Of Variable Life Insurance
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Notice to Members 00-43 | SEC Approves Changes To Transaction Reporting Procedures For Weighted Average And Special Pricing Formula Trades
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Notice to Members 00-42 | NASD Regulation, Inc. Reiterates The Obligation Of Member Firms To Comply With Trading Rules, Particularly Immediately Prior To The Close On Expiration Fridays And Index Rebalancing Days
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Notice to Members 00-41 | SEC Approves Trade Halt Rule For OTCBB
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Notice to Members 00-40 | Independence Day: Trade Date — Settlement Date Schedule
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Notice to Members 00-39 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 2000
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Notice to Members 00-38 | Nasdaq Releases Its Latest Decimalization Testing Schedule
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Notice to Members 00-37 | NAC Issues Decision On MSRB Rule G-37 Exemptive Relief
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Notice to Members 00-36 | SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board
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Notice to Members 00-35 | NASD Regulation Reminds Firms Of CRD Continuing Education Notification Method And Informs Firms To Review Written Supervisory Procedures
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Notice to Members 00-34 | NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
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Notice to Members 00-33 | NASD Regulation Adopts New Rule Interpretation To Require Confirmation Disclosure Of Callable Common Stock
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Notice to Members 00-32 | SEC Suspends Decimalization Deadline And Requests Comment On Extended Deadline
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Notice to Members 00-31 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 23, 2000
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Notice to Members 00-30 | SEC Approves New Systems And Rules Governing Delivery, Negotiation, And Execution Of Orders For Nasdaq National Market Securities
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Notice to Members 00-29 | SEC Approves Changes To Nasdaq Locked/Crossed Markets Rule
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Notice to Members 00-28 | SEC Approves Use Of Hard To Borrow List To Comply With The Affirmative Determination Requirement For Short Sales (Rule 3370)
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Notice to Members 00-27 | Deadline Extended For Series 55 Equity Trader Examination To October 1, 2000
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Notice to Members 00-26 | NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
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Notice to Members 00-25 | Memorial Day: Trade Date — Settlement Date Schedule
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Notice to Members 00-24 | Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 2000
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Notice to Members 00-23 | SEC Approves New Rules Relating To Bond Mutual Fund Volatility Ratings
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Notice to Members 00-22 | SEC Approves New Voluntary Single Arbitrator Pilot Program For A Two-Year Period
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Notice to Members 00-21 | NASD Regulation Reminds Members Of Their Responsibilities When Advertising Recent Mutual Fund Performance
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For Your Information - March 2000 | For Your Information (March)
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Notice to Members 2000 | For Your Information
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Notice to Members 00-20 | Good Friday: Trade Date — Settlement Date Schedule
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Notice to Members 00-19 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 2000
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Notice to Members 00-18 | NASD Regulation Issues Statement Of Policy Regarding Recordation By Members Of NASD Examinations
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