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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| SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers | ||
| Notice to Members 98-98 | SEC Approves Rule Change Relating To Mutual Fund Breakpoint Sales
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| Notice to Members 98-97 | Notice Of Increase In Advertising Review Fees
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| Notice to Members 98-96 | NASD Elaborates On Member Firms' Supervision Responsibilities For Trade Reporting And Market-Making Activities
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| Notice to Members 98-108 | NASD Extends Deadline For Updating Firm Contact Information Via The NASD Regulation Web Site To February 1,1999
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| Notice to Members 98-107 | NASD Reminds Members Of Their Obligations To Disclose Mutual Fund Fees
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| Notice to Members 98-106 | Trade Date - Settlement Date Schedule For 1999
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| Notice to Members 98-105 | NASD 1999 Holiday Schedule
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| Notice to Members 98-104 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 23, 1998
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| Notice to Members 98-103 | Maximum SOES Order Sizes Set To Change January 1, 1999
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| Notice to Members 98-102 | Calculating Margin For Day-Trading And Cross-Guaranteed Accounts
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| Notice to Members 98-101 | NASD Requests Comment On Proposed Amendments To Disclosure Questions On Forms U-4 And U-5
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| Notice to Members 98-100 | FOCUS Filing Due Dates For 1999
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| Y2000 Update - November 1998 | Year 2000 Update For November
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| NASD Rule Filing Status - November 1998 | NASD Notice Of Meeting Proxy For November
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| Notice to Members November 1998 | Year 2000 Update
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| Notice to Members November 1998 | Notice of Meeting and Proxy
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| Notice to Members 98-95 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1998
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| Notice to Members 98-94 | Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-93 | NASD Informs Members Of District Committee Members And District Nominating Committee Members
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| NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3) | ||
| Notice to Members 98-91 | NASD Alerts Members To Their Obligations Concerning Cold Calling And Advertising To Persons In The United Kingdom
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| Notice to Members 98-90 | New Arbitrator List Selection Rules And Monetary Thresholds For Simplified And Single Arbitration Cases Take Effect
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| Notice to Members 98-92 | NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3)
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| Y2000 Update - October 1998 | Year 2000 Update For October
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| For Your Information - October 1998 | For Your Information For October
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| Notice to Members October 1998 | Year 2000 Update
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| Notice to Members FYI October 1998 | For Your Information
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| Notice to Members 98-89 | NASD Announces Changes In CRD Filing Fees
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| Notice to Members 98-88 | Underwriting Compensation In Public Offerings
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| Notice to Members 98-87 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 24, 1998
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| Notice to Members 98-86 | Columbus Day, Veterans Day, And Thanksgiving Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-85 | SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked And Crossed Markets, And Members' Obligation To Provide Nasdaq With Certain Information
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| Notice to Members 98-84 | Broker/Dealer And Agent Renewals For 1999
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| Notice to Members 98-83 | SEC Approves Rule Change Relating To Standards For Individual Correspondence
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| Notice to Members 98-82 | SEC Approves Amendments To Automated Confirmation Transaction Service And Transaction Reporting Rules
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| Notice to Members 98-81 | NASD Regulation Requests Comment On Whether Some Rules Should Be Repealed As Obsolete Or Amended To Provide Institutional Customer Exception
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| For Your Information - September 1998 | For Your Information For September
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| Notice to Members FYI September 1998 | For Your Information
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| Notice to Members 98-80 | Nominees For NASD Board Of Governors
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