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 |
|---|---|---|
| NASD Rule Filing Status - December 1998 | NASD Rule Filing Status (March)
|
|
| Y2000 Update - March 1999 | Year 2000 Update (March)
|
|
| For Your Information - March 1999 | For Your Information (March)
|
|
| Notice to Members - March 1999 | Year 2000 Update
|
|
| Notice to Members - March 1999 | For Your Information
|
|
| Notice to Members 99-25 | Good Friday: Trade Date—Settlement Date Schedule
|
|
| Notice to Members 99-24 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 21, 1999
|
|
| Notice to Members 99-23 | SEC Approves New Arbitration Fees
|
|
| Notice to Members 99-22 | Maximum SOES Order Sizes Set To Change April 1, 1999
|
|
| Notice to Members 99-21 | The Nasdaq Stock Market Eliminates The SOES Five-Minute Presumption
|
|
| Notice to Members 99-20 | SEC Approves Rule Change Increasing Position Limits On Standardized Equity Options
NASD Reminds Members Of Their Reporting Obligations When Trading Options
|
|
| Y2000 Update - February 1999 | Year 2000 Update (February)
|
|
| Notice to Members - February 1999 | Year 2000 Update
|
|
| Notice to Members 99-19 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 22, 1998
|
|
| Notice to Members 99-18 | Annual Checklist Of NASD Notices to Members
|
|
| Notice to Members 99-17 | SEC Approves Amendments Regarding Application Of The Corporate Financing Rule To Certain Offerings By Charitable Organizations
|
|
| Notice to Members 99-16 | SEC Approves Changes To Rules Regarding Membership And Registration
Investigation And Sanctions; And Conduct And Code Of Procedure
|
|
| Notice to Members 99-15 | SEC Approves Rule Amendments Limiting Quotations On OTC Bulletin Board To Reporting Securities
|
|
| Notice to Members 99-14 | NASD Grants Exemptive Relief Under MSRB Rule G-37(i)
|
|
| Notice to Members 99-12 | NASD Regulation Issues Guidance Concerning The Operation Of Automated Order Execution Systems During Turbulent Market Conditions
|
|
| Notice to Members 99-11 | NASD Regulation Issues Guidance Regarding Stock Volatility
|
|
| Notice to Members 99-10 | NASD Guidelines For Compliance With New Requirements For Non-California Attorneys Representing Parties In NASD Arbitrations In California
|
|
| Notice to Members 99-09 | NASD Regulation Imposes Moratorium On Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
|
|
| Y2000 Update - January 1999 | Year 2000 Update (January)
|
|
| For Your Information - January 1999 | For Your Information (January)
|
|
| Notice to Members - January 1999 | Year 2000 Update
|
|
| Notice to Members - January 1999 | For Your Information
|
|
| Notice to Members 99-13 | NASD Alerts MembersTo Year 2000 Mandatory Testing Activities
|
|
| Notice to Members 99-08 | Martin Luther King, Jr. Day and Presidents Day: Trade Date-Settlement Date Schedule
|
|
| Notice to Members 99-07 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1998
|
|
| Notice to Members 99-06 | 1998-1999 Renewal Rosters And Final Adjusted Invoices Market-Wide Trading Halts
|
|
| Notice to Members 99-05 | SEC Issues Guidance On Handling Customer Orders During Market-Wide Trading Halts
|
|
| Notice to Members 99-04 | Revised OATS Reporting Technical Specifications Released
|
|
| Notice to Members 99-03 | SEC Approves Rule Amendments Requiring Review Of Incoming, Written Correspondence
|
|
| Notice to Members 99-02 | NASD Regulation Withdraws Risk Disclosure Proposal
|
|
| Notice to Members 99-01 | Office Of Disciplinary Affairs To Authorize All Enforcement Actions
|
|
| Y2000 Update - December 1998 | Year 2000 Update For December
|
|
| For Your Information - December 1998 | For Your Information For December
|
|
| Notice to Members December 1998 | Year 2000 Update
|
|
| Notice to Members FYI December 1998 | For Your Information
|