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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
Notice To Members 86-4
New NASD Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions
Notice To Members 86-5
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 86-6
NASDAQ National Market System Grows to 2,237 Securities With 19 Voluntary Additions on February 4, 1986, and 4 Mandatory Inclusions on February 11, 1986
Notice To Members 86-7
Bartel Securities, Inc. 1 Oxford Valley, Suite 702 Langhorne, Pennsylvania 19047
Notice To Members 86-8
Brittenum & Associates, Inc. Lafayette Building 525 Louisiana Little Rock, Arkansas 72201
Notice To Members 86-9
Amendments to Article III of the NASD Rules of Fair Practice
Notice To Members 86-10
NASDAQ National Market System Grows to 2,246 Securities With 22 Voluntary Additions on February 18, 1986
Notice To Members 86-11
New Application Fee For Statutorily Disqualified Individuals
Notice To Members 86-13
Request for Comments on Proposed Amendment to Schedule D of the NASD By-Laws to Authorize Trading Halts in NASDAQ Securities and Listed Securities Traded Over-the-Counter
Notice To Members 86-14
NASDAQ National Market System Grows to 2,259 Securities With 14 Voluntary Additions on March 4, 1986
Notice To Members 86-15
Monthly Reports of Aggregate "Short" Positions
Notice To Members 86-16
Amendments to SEC Rule l0b-10
Notice To Members 86-17
Availability of New Outline for the Series 7 General Securities Representative Examination; Updating of Margin Questions on Option Principal Examinations
Updating of Margin Questions on Option Principal Examinations
Notice To Members 86-18
NASDAQ National Market System Grows to 2,277 Securities With 20 Voluntary Additions on March 18, 1986
Notice To Members 86-20
Request for Comment on Proposed Rule Requiring Supervisory Procedures on Limit Orders
Notice To Members 86-19
Treasury Department Amends the Currency Transaction Report
Notice To Members 86-21
Holiday Settlement Schedule
Notice To Members 86-22
NASDAQ National Market System Grows to 2,280 Securities With 11 Voluntary Additions on April 1, 1986
Notice To Members 86-23
Request for Comments on Proposed Amendments to the NASD By-Laws and Code of Procedure to Accommodate Extended Hearings
Notice To Members 86-24
Kobrin Securities Inc. 415 Route 18 East East Brunswick, New Jersey 08816
Notice To Members 86-25
NASDAQ National Market System Grows to 2,307 Securities With 37 Voluntary Additions on April 15, 1986
Notice To Members 86-26
Request for Comments on Proposed Exemption From Free-Riding Interpretation for Conversion of Savings and Loan Associations
Notice To Members 86-27
Amendments to Corporate Financing Filing Requirements Effective Immediately
Notice To Members 86-28
Request for Comments on Proposed Amendments to Schedule E of the NASD By-Laws
Notice To Members 86-29
Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Relating to Short Sales
Notice To Members 86-30
Quarterly Checklist of Notices to Members
Notice To Members 86-31
Request for Comments on a Proposed Amendment to Article III, Section 19(f) of the NASD Rules of Fair Practice
Notice To Members 86-32
NASDAQ National Market System Grows to 2,342 Securities With 36 Voluntary Additions on May 6, 1986, and 5 Mandatory Inclusions on May 13, 1986
Notice To Members 86-33
Request for Comments on a Proposed Amendment to the Corporate Financing Interpretation Concerning Sales Incentives for Real Estate Investment Trusts and Corporate Debt and Equity Offerings
Notice To Members 86-34
NASDAQ National Market System Grows to 2,363 Securities With 28 Voluntary Additions on May 20, 1986
Notice To Members 86-36
Firm Agreements With Customers Not To Testify In NASD Proceedings
Notice To Members 86-35
Adoption of Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials"
Notice To Members 86-37
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 86-38
Membership Vote on Proposed Amendments to Article III, Section 28 of the NASD Rules of Fair Practice and Article VII, Section 8 of the NASD By-Laws
Notice To Members 86-39
Request for Comments on Proposed Amendment to the Code of Procedure to Grant Discretion to the NASD to Hold Hearings in Eligibility Proceedings
Notice To Members 86-40
Request for Comments on Amendment to Free-Riding Interpretation Concerning Investment Partnerships
Notice To Members 86-42
NASDAQ National Market System Grows to 2,385 Securities With 25 Voluntary Additions on June 3, 1986
Notice To Members 86-41
Presentations of Yield Quotations for Investment Company Shares in Communications With the Public
Notice To Members 86-43
NASDAQ National Market System Grows to 2,398 Securities With 10 Voluntary Additions on June 17, 1986
Notice To Members 86-45
NASDAQ National Market System Grows to 2,420 Securities With 18 Voluntary Additions on July 1, 1986
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