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 89-35 | Misuse of "No Load" Terminology in the Offer of Mutual Funds That Have Contingent Deferred Sales Loads
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Notice To Members 89-34 | Guidelines For Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures
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Notice To Members 89-33 | Proposed Amendments to Article III, NASD Code of Procedure Re: Board of Governors' Reviews of Disciplinary Actions; Last Date for Comments: May 1, 1989
Last Date for Comments: May 1, 1989
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For Your Information - March 1989 | For Your Information (March)
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Notice To Members 89-32 | Temporary Receiver Appointed for Investors Center, Inc.
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Notice To Members 89-31 | NASDAQ National Market System Additions, Changes, and Deletions as of February 10, 1989
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Notice To Members 89-30 | Good Friday Trade Date-Settlement Date Schedule
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Notice To Members 89-29 | SOES Tier Levels to Change for 575 Issues on March 17, 1989
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Notice To Members 89-28 | Approval and Immediate Effectiveness of Amendment to Definition of ";Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
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Notice To Members 89-27 | Treasury Finalizes Two Amendments Re: Currency Transactions; Reissues Current Currency Transaction Report Form
Reissues Current Currency Transaction Report Form
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Notice To Members 89-26 | Securities and Exchange Commission's Proposed Rule 15c2-6 Re: Sales Practices in Pink Sheet Stocks
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Notice To Members 89-25 | SIPC Reimposes Assessments Based on a Percentage of Gross Revenue
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Notice To Members 89-24 | Proposed Amendment to Schedule C to the NASD By-Laws to Amend the Definition of a Direct Participation Program; Last Date for Comments: April 3, 1989
Last Date for Comments: April 3, 1989
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Notice To Members 89-23 | Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees Deadline for Voting: April 3, 1989
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Notice To Members 89-22 | Proposed Amendment Re: Use and Disclosure of Member Names Last Voting Date: April 3, 1989
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Notice To Members 89-21 | Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Voting Date: April 3, 1989
Last Voting Date: April 3, 1989
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Notice To Members 89-20 | Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989
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For Your Information - February 1989 | For Your Information (February)
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Notice To Members 89-19 | NASDAQ National Market System Additions, Changes, and Deletions as of January 12, 1989
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Notice To Members 89-18 | Presidents' Day: Trade Date-Settlement Date Schedule
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Notice To Members 89-17 | Adoption of Rule Amendments Mandating the Automated Submission Of Trading Data Technical Specifications
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Notice To Members 89-16 | Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs — Effective February 1, 1989
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Notice To Members 89-15 | Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations — Effective December 20, 1988
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Notice To Members 89-14 | SEC Approves Amendments to Rule 17f-1, Lost and Stolen Securities Program
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Notice To Members 89-13 | Access to Disciplinary Information on Prospective Employees
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Notice To Members 89-12 | Reporting Suspicious Currency and Other Questionable Transactions To the IRS/Customs Hotline
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Notice To Members 89-11 | SEC Approval of Rule Amendment Requiring Filing of Advertising and Sales Literature for Investment Company Securities — Effective March 1, 1989
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Notice To Members 89-9 | Trade Date-Settlement Date Schedule for 1989
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Notice To Members 89-8 | NASD 1989 Holiday Schedule
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Notice To Members 89-7 | 1989 Renewal Rosters and Final Adjusted Invoices
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Notice To Members 89-6 | State Participation in CRD Form BD and BDW Processing
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Notice To Members 89-5 | Insider Trading and Securities Fraud Enforcement Act of 1988
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Notice To Members 89-4 | Proposed Mandatory Participation by Clearing Members in Reconfirmation and Pricing Services (RECAPS); Last Date for Comment: February 3, 1989
Last Date for Comment: February 3, 1989
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Notice To Members 89-3 | Proposed Rule to Restrict Payment of Referral Fees by NASD Members; Last Date for Comments: February 3, 1989
Last Date for Comments: February 3, 1989
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Notice To Members 89-2 | Proposed New Rule Regarding Business Conduct of Members; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
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Notice To Members 89-10 | NASDAQ National Market System Additions, Changes, and Deletions As of December 13, 1988
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Notice To Members 89-1 | Proposed By-Laws Amendment on Filling Vacancies on District Committees; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
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For Your Information (January) | For Your Information (January)
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Notice To Members 88-104 | Adoption of Rule Amendments Mandating the Automated Submission of Trading Data - Effective February 12, 1989
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Notice To Members 88-103 | Adoption of Rule Amendments - Effective Immediately Professional Trading in SOES
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