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 95-56 | NASD Files With The SEC Proposals Related To Non-Cash Incentive Programs, Disclosure Of Cash Compensation, And Direct Payments To Associated Persons
|
|
| Notice To Members 95-55 | SEC Approves Depository Eligibility Requirements For Nasdaq Securities
|
|
| Notice To Members 95-54 | SEC Approves Amendments To Article III, Section 21 Of The NASD Rules Of Fair Practice Relating To Cold-Calling Requirements
|
|
| Notice To Members 95-43 | SEC Approves Expanded Limit-Order Protection Rule
|
|
| Notice To Members 95-53 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 31, 1995
|
|
| Notice To Members 95-52 | Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1995
|
|
| Notice To Members 95-51 | Independence Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 95-50 | Availability Of New Qualification Examination For Registered Options Limited Representative (Series 42)
|
|
| Notice To Members 95-49 | NASD Clarifies Use Of Bank And Financial Institution Logos And Names
|
|
| Notice To Members 95-48 | Treasury Approves Risk Assessment Rules For Government Securities Broker/Dealers
|
|
| Notice To Members 95-47 | SEC Approves NASD Proposal To Raise Position Limits For Certain Equity Securities Not Subject To Standardized Options Trading
|
|
| Notice To Members 95-46 | SEC Approves Amendment To UPC To Add New Section 72
|
|
| Notice To Members 95-45 | SEC Approves Amendments To NASD Interpretation Of Forwarding Of Proxy And Other Materials Under Article III, Section 1 Of The Rules Of Fair Practice
|
|
| Notice To Members 95-44 | Request For Comments On Proposed Amendments To The Exception To The Qualified Independent Underwriter Requirement In Schedule E To The NASD By-Laws;
|
|
| Notice To Members 94-51 | Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1994
|
|
| Notice To Members 94-50 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 25, 1994
|
|
| Notice To Members 94-5 | Nasdaq National Market Additions, Changes, And Deletions as of December 27, 1993
|
|
| Notice To Members 94-49 | Independence Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 94-48 | SOES Tier Levels Set To Change July 11, 1994
|
|
| Notice To Members 94-47 | SEC Issues Policy Governing Broker/ Dealer Activity On Bank Premises
|
|
| Notice To Members 94-46 | NASD Reminds Members Of Their Obligations When Trading Options
|
|
| Notice To Members 94-45 | SEC Approves Schedule E Conflict-Of-lnterest Provisions
|
|
| Notice To Members 95-42 | SEC Approves Amendments To Prospectus Delivery Requirements To Accommodate T+3 Settlement
|
|
| Notice To Members 95-41 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 27, 1995
|
|
| Notice To Members 95-40 | Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1995
|
|
| Notice To Members 95-39 | Members Reminded To Report Address, Contact Changes To NASD
|
|
| Notice To Members 95-38 | Treasury Adopts Amendments To Form G-405 And Form G-FIN-4
|
|
| Notice To Members 95-37 | SEC Approves NASD Proposal Amending The Foreign-Associate Provisions Of Schedule C To The NASD By-Laws
|
|
| Notice To Members 95-36 | SEC Approves T+3-Related Amendments To The NASD Uniform Practice Code And Rules Of Fair Practice
|
|
| Notice To Members 95-34 | Survey Of Members That Transact Business In PORTAL Securities
|
|
| Notice To Members 95-33 | Mail Vote—NASD Solicits Member Vote On Measures To Discipline Members And Registered Persons For Failing To Honor Arbitration And Mediation Settlement Agreements; Last Voting Date: June 15, 1995
Last Voting Date: June 15, 1995
|
|
| Notice To Members 94-44 | Board Approves Clarification On Applicability Of Article III, Section 40 Of Rules Of Fair Practice To Investment Advisory Activities Of Registered Representatives
|
|
| Notice To Members 94-43 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 29, 1994
|
|
| Notice To Members 94-42 | Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1994
|
|
| Notice To Members 94-41 | NASD Clarifies Compensation Disclosure Requirements For Mutual Funds
|
|
| Notice To Members 94-40 | NASD Solicits Member Comment On Trading Activity In Advance Of Research Reports;
|
|
| Notice To Members 94-39 | Treasury Implements Buy-In Requirements For Government Securities
|
|
| Notice To Members 94-38 | SEC Seeks Comment On Rule 10b-10 Changes And New Rule 15c2-13
|
|
| Notice To Members 94-37 | SEC Issues Interpretive Statement Regarding Municipal Securities Disclosures; Proposes Changes To Rule 15c2-12
Proposes Changes To Rule 15c2-12
|
|
| Notice To Members 94-36 | SEC Approves Communication Guidelines For Variable Products
|