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 99-56 | NASD Regulation Announces CRD "System Transition Period" Immediately Preceding The Deployment Of Web CRD
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| Notice to Members 99-55 | Questions And Answers Relating To Non-Cash Compensation Rules
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| Notice to Members 99-54 | NASD Regulation Seeks Comment On Issues Relating To Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
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| Notice to Members 99-53 | NASD Regulation Offers Guidance To Members Forwarding Mini Tender Offers To Their Customers
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| Y2000 Update - June 1999 | Year 2000 Update (June)
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| For Your Information - June 1999 | For Your Information (June)
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| Notice to Members - June 1999 | For Your Information
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| Notice to Members 99-52 | Mail Vote—NASD Solicits Vote On Amendments To NASD By-Laws To The Associated Person Definition
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice. |
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| Notice to Members 99-51 | NASD Regulation Requests Comment On Requiring Chief Compliance Officers To Be Registered
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| Notice to Members 99-50 | SEC Approves Amendments To Corporate Financing Rule Filing Fees
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| Notice to Members 99-49 | NASD Regulation Provides Interpretive Guidance On Registration Requirements
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| Notice to Members 99-48 | Independence Day: Trade Date—Settlement Date Schedule
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| Notice to Members 99-47 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 22, 1999
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| Notice to Members 99-46 | Maximum SOES Order Sizes Set To Change July 1, 1999
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| Notice to Members 99-45 | NASD Provides Guidance On Supervisory Responsibilities
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| Notice to Members 99-44 | SEC Approves Interpretations And Allocation Chart For Proprietary Accounts Of Introducing Broker/Dealers
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| Notice to Members 99-43 | Update On OTC Bulletin Board Eligibility Rule
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| Notice to Members 99-42 | NASD Offers Guidance On Complying With Notice Requirements Of New SEC Rule Regarding Alternative Trading Systems
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| Notice to Members 99-41 | NASD Announces New Electronic Filing System For Corporate Financing Filings
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| Notice to Members 99-40 | NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
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| Y2000 Update - May 1999 | Year 2000 Update (May)
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| Notice to Members - May 1999 | Year 2000 Update
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| Notice to Members 99-39 | The NASD Prepares For Move To Decimals
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| Notice to Members 99-38 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 23, 1999
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| Notice to Members 99-37 | NASD Reminds Members Of Their Obligations Regarding Electronic Distribution Of Nasdaq And OTC Market Data
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| Notice to Members 99-36 | Members Reminded To Report Executive Representative And Address Changes
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| Notice to Members 99-35 | The NASD Reminds Members Of Their Responsibilities Regarding The Sales Of Variable Annuities
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| Notice to Members 99-34 | NASD Offers Guidance On Complying With New SEC Rule Regarding Alternative Trading Systems
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| Y2000 Update - April 1999 | Year 2000 Update (April)
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| For Your Information - April 1999 | For Your Information (April)
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| Notice to Members - April 1999 | Year 2000 Update
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| Notice to Members - April 1999 | For Your Information
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| Notice to Members 99-33 | NASD Regulation Advises Members About Maintenance Margin Requirements For Certain Volatile Stocks And Solicits Comment On Margin Practices
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| Notice to Members 99-32 | NASD Regulation Requests Comment On Proposed Rules Regarding Approval Procedures For Day - Trading Accounts, Including Appropriateness Determinations, And Disclosure Of Risks Of Day - Trading Activities
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| Notice to Members 99-31 | Memorial Day: Trade Date—Settlement Date Schedule
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| Notice to Members 99-30 | Fixed Income Pricing System Additions, Changes, And Deletions As Of February 19, 1999
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| Notice to Members 99-29 | SEC Approves Changes To Clearly Erroneous Trade Adjudication Procedures
Changes Effective April 26, 1999
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| Notice to Members 99-28 | NASD Reminds Members Of Obligations Relating To The Short-Sale Rule
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| Notice to Members 99-27 | Order Audit Trail System Phase 2 Firms Required To Register
Firms Should Register By April 1, 1999
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| Notice to Members 99-26 | NASD Will Terminate Form 211 Applications If Applicants Do Not Respond To NASD Deficiency Letters Within 180 Calendar Days
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