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 96-66 | SEC Expands Scope Of Conduct Rules And Other NASD Rules To Government Securities
Approves New Suitability Interpretation
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| Notice to Members 96-65 | New SEC Rules On Order Handling And Execution Of Customer Orders
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| Notice to Members 96-64 | Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
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| Notice to Members 96-63 | Columbus Day: Trade Date — Settlement Date Schedule
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| Notice to Members 96-62 | SOES Tier Levels Set To Change October 1, 1996
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| Notice to Members 96-61 | NASD Regulation Computerized Delivery Site Transition Continues
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| Notice to Members 96-60 | Clarification Of Members' Suitability Responsibilities Under NASD Rules With Special Emphasis On Member Activities In Speculative And Low-Priced Securities
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| Notice to Members 96-59 | NASD Solicits Member Comment On Proposed Rule Governing Tape Recording Of Telephone Conversations
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| Notice to Members 96-58 | Approval Of Amendments That Require Members To Provide Information To Other Regulators For Regulatory Purposes
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| Notice to Members 96-57 | Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996
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| Notice to Members 96-56 | Labor Day: Trade Date — Settlement Date Schedule
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| Notice to Members 96-55 | NASD Regulation Offers Software To Help Members Comply With Continuing Education Requirements
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| Notice to Members 96-54 | NASD Regulation Reminds Members Of Reporting Obligations Of MSRB Rules G-37 And G-38, And Announces Sanction Guidelines For Failure To Report Form G-37/G-38
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| Notice to Members 96-53 | Approval Of Amendments To The Definitions Of Bona Fide Independent Market And Bona Fide Independent Market Maker
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| Notice to Members 96-52 | NASD Solicits Member Comments On Proposed Rules Relating To The Sale Of Variable Life Insurance Contracts And Variable Annuity Contracts
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| Notice to Members 96-51 | Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
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| Notice to Members 96-50 | Supervisory And Other Obligations Related To Use Of Electronic Media
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| Notice to Members 96-49 | Members Reminded To Report Address, Contact Changes To NASD
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| Notice to Members 96-48 | New London Training Center
Registered Representatives In England, Scotland, And Wales Must Comply With Continuing Education Requirements
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| Notice to Members 96-47 | NASD Regulation, Inc., Expanding Computerized Delivery Sites
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| Notice to Members 96-46 | CRD Disclosure Conversion
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| Notice to Members 96-45 | NASD Appoints Ombudsman
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| Notice to Members 96-44 | NASD Interprets NASD Rule 2110 And Files Telemarketing Rule Changes With SEC
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| Notice to Members 96-43 | SEC Approves NASD By-Laws Amendments Regarding Gross Revenue
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| Notice to Members 96-42 | Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996
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| Notice to Members 96-41 | Independence Day: Trade Date — Settlement Date Schedule
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| Notice to Members 96-40 | SOES Tier Levels Set To Change July 1, 1996
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| Notice to Members 96-39 | Request For Comments On Proposed Changes To Regulations G, T, And U
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| Notice to Members 96-38 | Treasury Issues Letter Clarifying Recordkeeping Requirements For Forward Settling Repurchase Agreement Transactions
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| Notice to Members 96-37 | Fed Approves Amendments To Regulation T
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| Notice to Members 96-36 | SEC Approves Amendment To The Primary Market-Maker Standards
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| Notice to Members 96-35 | Mail Vote — NASD Solicits Member Vote On Amendments To The NASD By-Laws To Make By-Laws Consistent With The "Plan Of Allocation And Delegation Of Functions By NASD To Subsidiaries"
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| Notice to Members 96-34 | Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996
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| Notice to Members 96-33 | NASD Clarifies Rules Governing RR/IAs
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| Notice to Members 96-32 | Members Reminded To Use Best Practices When Dealing In Speculative Securities
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| NASD Rule Filing Status - April 1996 | NASD Rule Filing Status (As of April 29, 1996)
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| Notice to Members 96-31 | Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996
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| Notice to Members 96-30 | Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996
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| Notice to Members 96-29 | Memorial Day: Trade Date — Settlement Date Schedule
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| Notice to Members 96-28 | NASD Revises Sanction Guidelines
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