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 91-77 | Nasdaq National Market Additions, Changes, and Deletions as of October 23, 1991
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| Notice To Members 91-69 | Application of NASD Rules, Interpretations, By-Laws, and Federal Securities Laws to the Secondary Market in Direct Participation Program Interests
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| Notice To Members 91-74 | Replacement of Certificates of Deposit by Bond Mutual Funds
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| Notice To Members 91-71 | Subject: Broker/Dealer and Agent Renewals for 1991-92
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| Notice To Members 91-76 | Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
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| Notice To Members 91-68 | Proposed Amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Contracts; Last Voting Date:
Last Voting Date:
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| Notice To Members 91-73 | Revised Forms U-4 and U-5 Go into Effect
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| Notice To Members 91-70 | SEC Approval and Startup of Nasdaq International<sup>SM</sup> Service
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| Notice To Members 91-75 | Appointment of SIPC Trustee for Three Firms
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| Notice To Members 91-80 | Request for Comments on Proposed Amendments to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption from the Rule for Negative Comment Letters Used in Certain Bulk Exchanges of Money Market Mutual Funds; Last Date For Comments
Last Date For Comments
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| Notice To Members 91-85 | Nasdaq National Market Additions, Changes, and Deletions as of November 25, 1991
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| Notice To Members 91-82 | Proposed Revision of NASD Manual
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| Notice To Members 91-79 | Request for Comments on Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) And Proposed Amendments to the NASD Rules of Fair Practice to Incorporate Items From the Gu
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| Notice To Members 91-84 | Trade Date-Settlement Date Schedule for 1992
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| Notice To Members 91-81 | Reporting Information on Form BD
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| Notice To Members 91-78 | Request for Comments on Member Participation in Partnership Rollups and Listing of Securities Resulting from Rollups on Nasdaq/NMS; Last Date for Comments: February 1, 1992
Last Date for Comments: February 1, 1992
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| Notice To Members 91-83 | NASD 1992 Holiday Schedule
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| Notice To Members 92-3 | 1992 Renewal Rosters and Final Adjusted Invoices
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| Notice To Members 92-5 | Annual Check List of NASD Notices to Members
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| For Your Information - January 1992 | For Your Information
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| Notice To Members 92-2 | SEC Approval of Amendments to Schedule C of the NASD By-Laws Relating to Applications for Membership
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| Notice To Members 92-7 | Nasdaq National Market Additions, Changes, and Deletions as of December 19, 1991
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| Notice To Members 92-4 | Revision to the Investment Company Products/Variable Contracts Limited Principal Examination (Series 26)
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| Notice To Members 92-1 | Proposed Amendment to Article VI, Section 3 of the By-Laws to Extend the NASD's Summary Suspension Procedures to Situations Where Members or Associated Persons Fail to Comply with Arbitration Awards; Last Voting Date: February 18, 1992
Last Voting Date: February 18, 1992
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| Notice To Members 92-6 | Presidents' Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-8 | Proposed Amendment to Rules of Fair Practice, Article III, New Section 46: Short-Sale Rule for Nasdaq/NMS Securities and New Section 47: Primary Nasdaq Market Makers; Last Voting Date: March 13, 1992
Last Voting Date: March 13, 1992
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| Notice To Members 92-11 | Fees and Charges for Services
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| Notice To Members 92-13 | Nasdaq National Market Additions, Changes, and Deletions as of January 27, 1992
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| Notice To Members 92-10 | Approval of Amendments to Article III, Section 3 of the NASD By-Laws Regarding NASD Member Requirement to Appoint One Executive Representative Responsible For Voting and Acting for the Member in All Affairs Relating to the NASD
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| Notice To Members 92-12 | SIPC Trustees Appointed for Two Securities Firms
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| Notice To Members 92-9 | NASD/NYSE Special Alert Regarding Previously Cancelled Securities
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| Notice To Members 92-15 | Nasdaq National Market Additions, Changes, and Deletions as of February 24, 1992
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| Notice To Members 92-14 | Good Friday — Trade Date-Settlement Date Schedule
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| Notice To Members 92-19 | Retention of Jurisdiction; SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice
SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice
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| Notice To Members 92-24 | Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992
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| Notice To Members 92-16 | NASD Policies and Procedures for Markups/Markdowns in Equity Securities
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| Notice To Members 92-21 | SOES Tier Levels to Change for 431 Issues on May 4, 1992
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| Notice To Members 92-18 | SEC Approval of Amendments to the Definition of the Term "Branch Office" in Article III, Section 27 of the Rules of Fair Practice
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| Notice To Members 92-23 | Memorial Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-20 | Sale of Direct Participation Program Debt Instruments by Limited Principals and Representatives; SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
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