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 00-17 | NASD Regulation Requests Comment On Proposed Recordkeeping And Reporting Requirements For Quotations On Certain Automated, Inter-Dealer Quotation Systems
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Notice to Members 00-16 | SEC Approves Changes To NASD Public Disclosure Program (Interpretive Material 8310-2)
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Notice to Members 00-15 | SEC Approves Rule Change Relating To Filing Requirements For Independently Prepared Research Reports
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Notice to Members 00-14 | NASD Members Must Update Firm Contact Information Via The NASD Regulation Web Site By April 30, 2000
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Notice to Members 00-13 | Nominees For NASD Board Of Governors
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For Your Information - February 2000 | For Your Information (February)
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Notice to Members 2000 | For Your Information
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Notice to Members 00-12 | Amendments Adopted To Clarify The Application Of NASD Rules To Offerings Under SEC Rule 504 And Intra-State-Only Offerings
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Notice to Members 00-11 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1999
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Notice to Members 00-10 | Nasdaq Reiterates Clearly Erroneous Complaint Procedures
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Notice to Members 00-09 | NASD Issues Various MSRB Rule G-37 Decisions On Exemptive Relief
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For Your Information - January 2000 | For Your Information (January)
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Notice to Members 2000 | For Your Information
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Notice to Members 00-08 | NASD Reminds Members Of Their Obligations Regarding Municipal Securities Transaction Reporting
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Notice to Members 00-07 | Disclosure To Customers Engaging In Extended Hours Trading
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Notice to Members 00-06 | The Countdown To Decimals
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Notice to Members 00-05 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1999
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Notice to Members 00-04 | Martin Luther King, Jr. Day And Presidents Day: Trade Date — Settlement Date Schedule
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Notice to Members 00-03 | Annual Checklist Of NASD Notices to Members
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Notice to Members 00-02 | NASD Alerts Members To Their Obligations Concerning Soliciting Business In Foreign Jurisdictions
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Notice to Members 00-01 | 1999-2000 Renewal Rosters And Final Adjusted Statements
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For Your Information - December 1999 | For Your Information (December)
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Notice to Members - December 1999 | For Your Information
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Notice to Members 99-98 | NASD Regulation Reiterates That Members Must Comply With All Short Sale Rules When Receiving Orders Through Electronic Order Systems Or The Internet And Reiterates The Operation Of The Affirmative Determination Rule
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Notice to Members 99-97 | NASD Office Of The Ombudsman Clarifies Its Role
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Notice to Members 99-107 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 22, 1999
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Notice to Members 99-106 | NASD 2000 Holiday Schedule
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Notice to Members 99-105 | Trade Date—Settlement Date Schedule For 2000
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Notice to Members 99-104 | Maximum SOES Order Sizes Set To Change January 10, 2000
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Notice to Members 99-103 | SEC Approves Rule Change Relating To Sales Charges For Investment Companies And Variable Contracts
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Notice to Members 99-102 | NASD Announces Changes To Regulation T And SEC Rule 15c3-3 Extension Request Reason Codes
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Notice to Members 99-101 | NASD Regulation To Launch Additional Form Filing Regulatory Applications
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Notice to Members 99-100 | SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
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Notice to Members 99-99 | NASD Reiterates Obligations To Display Customer Limit Orders Pursuant To SEC Rule 11Ac1-4
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Y2000 Update - December 1999 | Year 2000 Update (December)
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NASD Reiterates Obligations To Display Customer Limit Orders Pursuant To SEC Rule 11Ac1-4 | ||
Notice to Members 98-99 | SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers
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Notice to Members 99-96 | SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
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Notice to Members 99-95 | NASD Announces Changes To The By-Laws Associated Person Definition
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Notice to Members 99-94 | Christmas Day: Trade Date—Settlement Date Schedule
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