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 88-68 | Proposed Amendment Re Providing Terminated Employee with Form U-5 and Obtaining Prior Form U-5 for Potential Employees; Comment by October 1, 1988
Comment by October 1, 1988
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| Notice To Members 88-67 | Obligation to Provide Accurate Information on Forms U-4 and U-5 and to Research Potential Employee's Background
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| Notice To Members 88-66 | Test Center Change for Houston Series 7 Exam in September
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| Notice To Members 88-65 | Proposed Amendment: Use and Disclosure of Member Names; Last Date for Comment: October 3, 1988
Last Date for Comment: October 3, 1988
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| Notice To Members 88-64 | Proposed Amendment Regarding Filing of Advertising and Sales Literature for Investment Company Securities; Deadline for Voting: October 3, 1988
Deadline for Voting: October 3, 1988
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| Notice To Members 88-63 | New Requirements - Effective Immediately - Re Issuing Companies' Notification of NASD Regarding Material News
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| Notice To Members 88-62 | SEC Adopts Rule 10b-21 Prohibiting Shorting into Secondaries
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| Notice To Members 88-61 | Interpretations - Effective Immediately - of SOES Rules Regarding Compliance With Maximum Order Size Restrictions.
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| Notice To Members 88-60 | Quarterly Check List of NASD Notices to Members
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| Notice To Members 88-59 | Labor Day Trade Date-Settlement Date Schedule
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| Notice To Members 88-58 | September First-Saturday Exam Session Changed
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| Notice To Members 88-57 | NASDAQ National Market System Additions as of July 22, 1988
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| Notice To Members 88-56 | Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD
State Pilot for Broker-Dealer Phase of CRD
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| Notice To Members 88-55 | Correction to Notice to Members 88-55
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| Notice To Members 88-54 | Implementation of Reporting Requirements for Non-NASDAQ OTC Securities; Effective September 1, 1988
Effective September 1, 1988
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| Notice To Members 88-53 | SiPC Trustee Appointed: Fitzgerald, DeArman & Roberts, Inc., 6400 South Lewis, Tulsa, Oklahoma 74170
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| Notice To Members 88-52 | Amendment to Rule: Testimonial Advertisements.
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| Notice To Members 88-51 | Registration of Foreign Branch Offices by August 1, 1988
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| Notice To Members 88-50 | Registration of Persons Soliciting on Behalf of Members Under Schedule C of the NASD By-Laws.
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| Notice To Members 88-49 | By-Law Amendment: Prohibition of Concurrent Registration Under Schedule C; Last Date for Comment: August 1, 1988
Last Date for Comment: August 1, 1988
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| Notice To Members 88-48 | Proposed By-Laws Amendment Concerning Filling Vacancies on District Committees - Last Date for Comment: August 1, 1988
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| Notice To Members 88-47 | Proposed Amendment: Short Sales-Last Date for Comment: August 1, 1988
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| Notice To Members 88-46 | Adoption of Rule Amendment to Authorize Trading Halts in NASDAQ Securities.
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| Notice To Members 88-45 | Proposed New Rule: Outside Business Activities-Last Voting Date: August 1, 1988
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| Notice To Members 88-44 | Proposed Rule Amendments: Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office" Conforming Amendment To By-Laws-Last Voting Date: August 1, 1988
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| Notice To Members 88-43 | Adoption of Amendments to the Rules of Practice and Procedures for the NASD Small Order Execution System and to Schedule D to the NASD By-Laws, Effective June 30, 1988
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| Notice To Members 88-42 | NASDAQ National Market System Advances to 2,954 Securities With 14 Additions on June 21, 1988
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| Notice To Members 88-41 | Independence Day Trade Date-Settlement Date Schedule
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| Notice To Members 88-40 | Adoption of New Schedule H to the NASD By-Laws and Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice.
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| Notice To Members 88-39 | NASDAQ National Market System Totals 2,950 Securities With 10 Additions on June 7, 1988
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| Notice To Members 88-38 | SEC Approves New Category of Limited Representative Registration — Corporate Securities Examination (Series 62); Study Outline Available
Study Outline Available
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| Notice To Members 88-37 | Operations Officer, Cashier, Fail-Control Department
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| Notice To Members 88-36 | Memorial Day Trade Date-Settlement Date Schedule
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| Notice To Members 88-35 | NASDAQ National Market System Totals 2,945 Securities With Seven Additions on May 17, 1988
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| Notice To Members 88-34 | Adoption of New Section 67 of the NASD Uniform Practice Code Regarding Delayed Closings Effective June 12, 1988
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| Notice To Members 88-33 | Adoption of Amendments to Schedule E to the NASD By-Laws Effective Immediately
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| Notice To Members 88-32 | Amendment to the NASD Board of Governors' Corporate Financing Interpretation Regarding Public Offerings When Proceeds Are Directed to NASD Members
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| Notice To Members 88-31 | Proposed Amendments to Article V, Section 1 of the NASD Rules of Fair Practice and Section 12(2) of the Proposed Government Securities Rules: Removal of Fine Limitations
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| Notice To Members 88-30 | NASDAQ National Market System Totals 2,976 Securities With Two Additions on May 3, 1988
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| Notice To Members 88-29 | Proposed New Section 3 to Article VII and Amendment to Article XI, Section 4 of the NASD By-Laws Concerning Emergency Authority of the NASD Board of Governors
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