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 95-95 | SEC Approves Amendments To The Corporate Financing Rule Relating To Rights Of First Refusal
|
|
| Notice To Members 95-100 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 27, 1995
|
|
| Notice To Members 95-94 | NASD Requests Comment On Proposed Redefinition Of Gross Revenue For Assessment Purposes;
|
|
| Notice To Members 95-93 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 28, 1995
|
|
| Notice To Members 95-92 | Nasdaq National Market Additions, Changes, And Deletions As Of September 20, 1995
|
|
| Notice To Members 95-91 | SOES Tier Levels Set To Change November 13, 1995
|
|
| Notice To Members 95-90 | Thanksgiving Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 95-89 | Broker/Dealer And Agent Renewals For 1996;
|
|
| Notice To Members 95-88 | Treasury Delays Effective Date Of Wire Transfer Recordkeeping Requirements Until April 1, 1996; Proposes Clarifying Amendments
Proposes Clarifying Amendments
|
|
| Notice To Members 95-87 | Confidentiality Clauses In Settlement Agreements
|
|
| Notice To Members 95-86 | NASD Reminds Members About Continuing Education Program Regulatory Element
|
|
| Notice To Members 95-85 | Clarification Of NASD Notice to Members 95-16 And NYSE Information Memorandum 95-16: Content And Enforcement Of Provisions In Customer Agreements And Predispute Arbitration Clauses
|
|
| Notice To Members 95-84 | Rudman Committee Releases Summary Of Conclusions And Recommendations
|
|
| Notice To Members 95-83 | SEC Approves Rules Permitting Arbitration Participants To Seek Injunctive Relief From Arbitrators
|
|
| Notice To Members 95-82 | SEC Approves NASD Rules Concerning Index, Currency, And Currency Index Warrants
|
|
| Notice To Members 95-81 | SEC Approves Rules For Reporting Customer Complaint Information; Special NASD Notices to Members
Special NASD Notices to Members
|
|
| Notice To Members 95-80 | NASD Further Explains Members Obligations And Responsibilities Regarding Mutual Funds Sales Practices
|
|
| Notice To Members 95-79 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 25, 1995
|
|
| Notice To Members 95-78 | Nasdaq National Market Additions, Changes, And Deletions As Of August 21, 1995
|
|
| Notice To Members 95-77 | Columbus Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 95-76 | SEC Permits NASD To Discipline Members And Associated Persons Who Fail To Honor Arbitration Or Mediation Settlement Agreements
|
|
| Notice To Members 95-75 | SEC Approves Amendment Regarding Trading In Anticipation Of The Issuance Of A Research Report
|
|
| Notice To Members 95-74 | SEC Approves Amendments To Advertising And Sales Literature Filing And Review Requirements
|
|
| Notice To Members 95-73 | NASD Requests Comment On Member Obligations To File Certain Exchange Offers That Result In Public Distributions;
|
|
| Notice To Members 95-72 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 28, 1995
|
|
| Notice To Members 95-71 | Nasdaq National Market Additions, Changes, And Deletions As Of July 27, 1995
|
|
| Notice To Members 95-70 | Labor Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 95-69 | Treasury Amends Bank Secrecy Act; Requires Additional Recordkeeping Requirements For Wire Transfers
Requires Additional Recordkeeping Requirements For Wire Transfers
|
|
| Notice To Members 95-68 | Fed. Proposes Changes To Reg. T;
|
|
| Notice To Members 95-67 | NASD Clarifies The Expanded Limit-Order Protection Interpretation
|
|
| Notice To Members 95-66 | PROCTOR Adds PRO System To Automate Regulatory Element Training
|
|
| Notice To Members 95-65 | NASD Files NASD Manual Revisions With The SEC For Review And Approval
|
|
| Notice To Members 95-64 | SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice And Part I Of Schedule D To The NASD By-Laws Relating To Limited Partnership Rollup Transactions
|
|
| Notice To Members 95-63 | SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice Relating To Freely Tradeable Direct Participation Program Securities
|
|
| Notice To Members 95-62 | SEC Approves New NASD Mediation Rules That Take Effect August 1, 1995
|
|
| Notice To Members 95-61 | Mail Vote—NASD Solicits Member Vote On Amendments To The By-Laws To Include Statutory Disqualification Provisions Adopted By Congress;
|
|
| Notice To Members 95-60 | NASD Solicits Member Comment On Refined N*Aqcess Proposal;
|
|
| Notice To Members 95-59 | Temporary Fee Increase For Agent Registration Filings;
|
|
| Notice To Members 95-58 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 27, 1995
|
|
| Notice To Members 95-57 | Nasdaq National Market Additions, Changes, And Deletions As Of June 27, 1995
|