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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 88-64
Proposed Amendment Regarding Filing of Advertising and Sales Literature for Investment Company Securities; Deadline for Voting: October 3, 1988
Deadline for Voting: October 3, 1988
Notice To Members 88-69
Documentation for Excused Withdrawal Under Schedule D of By-Laws
Notice To Members 88-74
Amendment to Code of Procedure Re: Composition of Panels for DBCC and Market Surveillance Hearings
Notice To Members 88-79
NASDAQ National Market System Additions, Changes, and Deletions as of September 16, 1988
Notice To Members 88-76
Test Center Location for Houston Series 7 Exam in October
Notice To Members 88-81
NASD Raises Corporate Filing Fee
Notice To Members 88-73
Amendment to NASD UPC That Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicates
Notice To Members 88-78
Telephone Number Change for NASD's Rockville, Maryland Office Effective October 14, 1988
Notice To Members 88-75
Amendment Eliminating the Fine Limitation in Disciplinary Proceedings
Notice To Members 88-80
Third-Quarter Check List of NASD Notices to Members
Notice To Members 88-77
SIPC Trustee Appointed: Fairweather (George R.) Securities, Inc. 75 Montgomery Street, Jersey City, New Jersey
Notice To Members 88-89
Amendment to Schedule E of the NASD By-Laws Re: Definition of Qualified Independent Underwriter - Effective December 1, 1988
Notice To Members 88-81a
Broker-Dealer and Agent Renewals for 1988-89; Status of CRD Phase II Implementation
Status of CRD Phase II Implementation
Notice To Members 88-94
NASDAQ National Market System Additions as of October 18, 1988
Notice To Members 88-86
Approval and Immediate Effectiveness of Article III, Section 43 of the NASD Rules of Fair Practice Regarding Outside Business Activities
Notice To Members 88-91
Proposed Amendment to Article III, Section 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
Notice To Members 88-83
Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Re: Marking Customer Order Tickets - Effective Immediately
Notice To Members 88-88
Amendment to Section 34, of the NASD Rules of Fair Practice Re: Prohibition on Non-Cash Sales Incentives in Public Offerings Effective January 1, 1989
Notice To Members 88-93
SEC Approval of Amendment to Free-Riding Interpretation Concerning Sales to Investment Partnerships and Corporations
Notice To Members 88-85
Securities and Exchange Commission Decision Re: Handling Customers' Limit Orders
Notice To Members 88-90
Proposed Rule Amendment, By-Laws Amendments Under Schedule C Re: Training, Qualification, and Registration of Representatives and Principals; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
Notice To Members 88-82
Veteran's Day and Thanksgiving Day Trade Date-Settlement Date Schedules
Notice To Members 88-87
Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Date for Comment: December 1, 1988
Last Date for Comment: December 1, 1988
Notice To Members 88-92
Proposed Corporate Financing Rule; Last Date for Comment: December 31, 1988
Last Date for Comment: December 31, 1988
Notice To Members 88-84
SEC Approval of Amendments to NASD Rules of Fair Practice and Conforming Amendments to the By-Laws Re: Supervisory Practices and Definitions of Branch Office and Office of Supervisory Jurisdiction
Notice To Members 88-97
Implementation of the Form U-4 Disclosure Reporting Page (DRP) Effective Immediately
Notice To Members 88-102
NASDAQ National Market System Additions as of November 21, 1988
Notice To Members 88-99
Trade Date-Settlement Date Schedule: Christmas Day, New Year's Day, and Martin Luther King, Jr. Day
Notice To Members 88-96
SEC Approval of Amendments to NASD By-Laws and Rules of Fair Practice And New Government Securities Rules
Notice To Members 88-101
Clarification of NASD Filing Requirements and Review Procedures for Offerings Made Pursuant to SEC Rule 415
Notice To Members 88-98
Proposed Amendment to Schedule E Re: Exemption From the Pricing Requirements For Shelf Offerings to Institutional Investors
Notice To Members 88-95
SEC Approval of Amendment to NASD Rules of Fair Practice Re: Prompt Payment for Investment Company Shares — Effective Date: January 1, 1988
Notice To Members 88-100
Mergers by Members With Blind-Pool Companies
Notice To Members 88-103
Adoption of Rule Amendments - Effective Immediately Professional Trading in SOES
Notice To Members 88-104
Adoption of Rule Amendments Mandating the Automated Submission of Trading Data - Effective February 12, 1989
Notice To Members 89-9
Trade Date-Settlement Date Schedule for 1989
Notice To Members 89-1
Proposed By-Laws Amendment on Filling Vacancies on District Committees; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
Notice To Members 89-6
State Participation in CRD Form BD and BDW Processing
Notice To Members 89-3
Proposed Rule to Restrict Payment of Referral Fees by NASD Members; Last Date for Comments: February 3, 1989
Last Date for Comments: February 3, 1989
Notice To Members 89-8
NASD 1989 Holiday Schedule
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