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 93-18 | SEC Approves Collateralized Mortgage Obligations Advertising Guidelines for Communications With the Public
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Notice To Members 93-17 | SEC Approves Changes To Uniform Practice Code Establishing Close-Out Procedures for Fails
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Notice To Members 93-16 | SEC Approves Code of Procedure Amendments That Permit the NASD to Institute Summary Revocation Proceedings For Failing to Pay an Arbitration Award
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Notice To Members 93-15 | Mail Vote — Proposed Amendments to Articles VII and XII of the NASD By-Laws and Article III of The NASD Rules of Fair Practice to Make All Rule Approval Procedures Under the By-Laws Uniform;
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Notice To Members 93-9 | SEC Approves Amendments to NASD<sup>®</sup> Rules Governing Transaction Reporting
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Notice To Members 93-8 | SEC Approval of Amendment Relating To the Payment of Gratuities or Anything Of Value by Members To Others
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Notice To Members 93-14 | Nasdaq National Market(r) Additions, Changes, And Deletions as of January 21, 1993
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Notice To Members 93-13 | Market-Maker Display of Size in Nasdaq Small-Cap Market<sup>SM</sup> Securities
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Notice To Members 93-12 | Questions and Answers About New NASD<sup>®</sup> Rules Governing Investment Company Sales Charges — Article III, Sections 26(b) and (d) of the Rules of Fair Practice
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Notice To Members 93-11 | SEC Grants OTC Bulletin Board<sup>®</sup> Interim Designation As a "Qualifying Electronic Quotation System"
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Notice To Members 93-10 | Request for Comments On Proposed Amendment to the Corporate Financing Rule Relating to the Fairness And Reasonableness of Underwriter Warrant's Anti-Dilution Provisions
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For Your Information - January 1993 | For Your Information
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Notice To Members 93-7 | Nasdaq National Market Additions, Changes, And Deletions As of December 21, 1992
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Notice To Members 93-6 | Presidents' Day — Trade Date-Settlement Date Schedule
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Notice To Members 93-5 | Annual Check List of NASD Notices to Members
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Notice To Members 93-4 | 1993 Renewal Rosters And Final Adjusted Invoices
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Notice To Members 93-3 | SEC Approval of Amendments to Branch-Office Fees
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Notice To Members 93-2 | Market-Maker Obligations With Regard to Display of Size in Quotations
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Notice To Members 93-1 | SEC Approval of Amendment to Article III, Section 15 of the NASD® Rules of Fair Practice; Effective December 3, 1992
Effective December 3, 1992
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Notice To Members 92-72 | SEC Adopts Significant Amendments to the Net Capital Rule, Proposes Others for Public Comment
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Notice To Members 92-71 | Nasdaq National Market® Additions, Changes, and Deletions as of November 20, 1992
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Notice To Members 92-70 | Trade Date-Settlement Date Schedule for 1993
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Notice To Members 92-69 | NASD 1993 Holiday Schedule
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Notice To Members 92-68 | Federal and State Legislative Update
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Notice To Members 92-67 | NASD® Responds to SEC's Market 2000 Concept Release
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Notice To Members 92-66 | Quotation and Trade-Reporting Requirements for Members Dealing in High-Yield Bonds
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Notice To Members 92-65 | SEC Approval of Amendments Concerning the Exclusion of Class-Action Matters From Arbitration Proceedings and Requiring That Predispute Arbitration Agreements Include a Notice That Class-Action Matters May Not Be Arbitrated
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Notice To Members 92-64 | Nasdaq National Market Additions, Changes, and Deletions as of October 26, 1992
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Notice To Members 92-63 | Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
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Notice To Members 92-62 | SOES Tier Levels to Change for 538 Issues on December 1, 1992
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Notice To Members 92-61 | Revised Form BD Goes Into Effect November 16, 1992
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Notice To Members 92-60 | SEC Approval of Amendments Relating to Periodic Account Statements
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Notice To Members 92-59 | SEC Approval of Amendments Requiring Prefiling of Advertisements for Collateralized Mortgage Obligations
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Notice To Members 92-58 | SEC Approval of Amendment to Section 13, Schedule E to the NASD By-Laws Effective October 1, 1992
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Notice To Members 92-57 | Proposed Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Voting Date: December 21, 1992
Last Voting Date: December 21, 1992
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Notice To Members 92-56 | Proposed Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) and Proposed Amendments to Article III, Section 35 of the Rules of Fair Practice to Incorporate Items From
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Notice To Members 92-55 | Nasdaq National Market Additions, Changes, and Deletions as of September 25, 1992
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Notice To Members 92-54 | Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
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Notice To Members 92-53 | Underwriting Compensation Received by Members in Public Corporate Equity Offerings
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Notice To Members 92-52 | Broker/Dealer and Agent Renewals for 1992-93
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