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 97-86 | Nominees For NASD Board Of Governors
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Notice to Members 97-85 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 24, 1997
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Notice to Members 97-84 | Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
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Notice to Members 97-83 | Exemption From SEC Rule 15c2-11 For Certain Securities Delisted From Nasdaq
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Notice to Members 97-82 | SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers
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Notice to Members 97-81 | NASD Regulation Requests Comment On Proposed Amendments Relating To Compensation For Sale Of Public Offerings Of Direct Participation Programs
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Notice to Members 97-80 | SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments
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Notice to Members 97-79 | NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements
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Notice to Members 97-78 | SEC Approves Rule Relating To Distribution Of Information Concerning NASD Regulation's Public Disclosure Program
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Notice to Members 97-77 | NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice
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Notice to Members 97-76 | Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities
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Notice to Members 97-75 | Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
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For Your Information - October 1997 | For Your Information
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Notice to Members FYI October 1997 | For Your Information
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Notice to Members 97-74 | SEC Approves Amendments To Legal Definition Of Short Sale
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Notice to Members 97-73 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997
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Notice to Members 97-72 | Veteran's Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
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Notice to Members 97-71 | NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
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Notice to Members 97-70 | Broker/Dealer And Agent Renewals For 1998
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Notice to Members 97-69 | No Notice has been designated as 97-69
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Notice to Members 97-68 | SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720
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Notice to Members 97-67 | NASD Regulation Institutes Firm Quote Compliance
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For Your Information - September 1997 | For Your Information
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Notice to Members FYI September 1997 | For Your Information
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Notice to Members 97-66 | Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
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Notice to Members 97-65 | Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements
CRD To Provide Firms With Advisory Messages
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Notice to Members 97-64 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 22, 1997
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Notice to Members 97-63 | Columbus Day: Trade Date — Settlement Date Schedule
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Notice to Members 97-62 | SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities
Refinement Of SEC Fee Rate Algorithm
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Notice to Members 97-61 | SOES Tier Size Levels Set To Change October 1, 1997
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Notice to Members 97-60 | SEC Approves New Procedures For Granting Exemptions To NASD Rules
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Notice to Members 97-59 | NASD Regulation Requests Comment On Injunctive Relief And Expedited Proceedings
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Notice to Members 97-58 | NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity
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Notice to Members 97-57 | NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
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Notice to Members 97-56 | Intermarket Surveillance Group Issues New Automated Reporting Requirements
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For Your Information - August 1997 | For Your Information
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Notice to Members FYI August 1997 | For Your Information
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Notice to Members 97-55 | New Membership Application Rules, New Code Of Procedure, And Other New Disciplinary Rules
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Notice to Members 97-54 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 25, 1997
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Notice to Members 97-53 | Labor Day: Trade Date — Settlement Date Schedule
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