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 88-65 | 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 88-78 | Telephone Number Change for NASD's Rockville, Maryland Office Effective October 14, 1988
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Notice To Members 88-75 | Amendment Eliminating the Fine Limitation in Disciplinary Proceedings
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Notice To Members 88-80 | Third-Quarter Check List of NASD Notices to Members
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Notice To Members 88-77 | SIPC Trustee Appointed: Fairweather (George R.) Securities, Inc. 75 Montgomery Street, Jersey City, New Jersey
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Notice To Members 88-74 | Amendment to Code of Procedure Re: Composition of Panels for DBCC and Market Surveillance Hearings
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Notice To Members 88-79 | NASDAQ National Market System Additions, Changes, and Deletions as of September 16, 1988
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Notice To Members 88-76 | Test Center Location for Houston Series 7 Exam in October
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Notice To Members 88-81 | NASD Raises Corporate Filing Fee
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Notice To Members 88-73 | Amendment to NASD UPC That Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicates
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Notice To Members 88-93 | SEC Approval of Amendment to Free-Riding Interpretation Concerning Sales to Investment Partnerships and Corporations
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Notice To Members 88-85 | Securities and Exchange Commission Decision Re: Handling Customers' Limit Orders
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Notice To Members 88-90 | Proposed Rule Amendment, By-Laws Amendments Under Schedule C Re: Training, Qualification, and Registration of Representatives and Principals; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
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Notice To Members 88-82 | Veteran's Day and Thanksgiving Day Trade Date-Settlement Date Schedules
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Notice To Members 88-87 | Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Date for Comment: December 1, 1988
Last Date for Comment: December 1, 1988
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Notice To Members 88-92 | Proposed Corporate Financing Rule; Last Date for Comment: December 31, 1988
Last Date for Comment: December 31, 1988
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Notice To Members 88-84 | SEC Approval of Amendments to NASD Rules of Fair Practice and Conforming Amendments to the By-Laws Re: Supervisory Practices and Definitions of Branch Office and Office of Supervisory Jurisdiction
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Notice To Members 88-89 | Amendment to Schedule E of the NASD By-Laws Re: Definition of Qualified Independent Underwriter - Effective December 1, 1988
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Notice To Members 88-81a | Broker-Dealer and Agent Renewals for 1988-89; Status of CRD Phase II Implementation
Status of CRD Phase II Implementation
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Notice To Members 88-94 | NASDAQ National Market System Additions as of October 18, 1988
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Notice To Members 88-86 | Approval and Immediate Effectiveness of Article III, Section 43 of the NASD Rules of Fair Practice Regarding Outside Business Activities
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Notice To Members 88-91 | Proposed Amendment to Article III, Section 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
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Notice To Members 88-83 | Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Re: Marking Customer Order Tickets - Effective Immediately
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Notice To Members 88-88 | Amendment to Section 34, of the NASD Rules of Fair Practice Re: Prohibition on Non-Cash Sales Incentives in Public Offerings Effective January 1, 1989
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Notice To Members 88-101 | Clarification of NASD Filing Requirements and Review Procedures for Offerings Made Pursuant to SEC Rule 415
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Notice To Members 88-98 | Proposed Amendment to Schedule E Re: Exemption From the Pricing Requirements For Shelf Offerings to Institutional Investors
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Notice To Members 88-95 | SEC Approval of Amendment to NASD Rules of Fair Practice Re: Prompt Payment for Investment Company Shares — Effective Date: January 1, 1988
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Notice To Members 88-100 | Mergers by Members With Blind-Pool Companies
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Notice To Members 88-97 | Implementation of the Form U-4 Disclosure Reporting Page (DRP) Effective Immediately
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Notice To Members 88-102 | NASDAQ National Market System Additions as of November 21, 1988
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Notice To Members 88-99 | Trade Date-Settlement Date Schedule: Christmas Day, New Year's Day, and Martin Luther King, Jr. Day
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Notice To Members 88-96 | SEC Approval of Amendments to NASD By-Laws and Rules of Fair Practice And New Government Securities Rules
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Notice To Members 88-103 | Adoption of Rule Amendments - Effective Immediately Professional Trading in SOES
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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 89-5 | Insider Trading and Securities Fraud Enforcement Act of 1988
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For Your Information (January) | For Your Information (January)
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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 89-2 | 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 89-7 | 1989 Renewal Rosters and Final Adjusted Invoices
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