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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 87-19
Federal Regulation of Government Securities Brokers and Dealers Under the Government Securities Act of 1986
Notice To Members 87-18
Holiday Settlement Schedule
Notice To Members 87-17
NASDAQ National Market System Grows to 2,802 Securities With 20 Voluntary Additions on March 17, 1987
Notice To Members 87-16
Request for Comments on Proposed Amendments to Article IV, Sections 3 and 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice
Notice To Members 87-15
Proposed Amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice and the Interpretation of the Board of Governors Concerning Short Sales
Notice To Members 87-14
Request for Comments on Proposed Amendments to Article I, Section (c) of the NASD By-Laws and Schedule C to the NASD By-Laws Relating to the Definition of the Term "Branch Office"
Notice To Members 87-13
Proposed Amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws
Notice To Members 87-12
Adoption of Amendment to Schedule G of the NASD By-Laws
Notice To Members 87-11
NASDAQ National Market System Grows to 2,788 Securities With 17 Voluntary Additions on March 3, 1987
Notice To Members 87-10
Proposed Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
Notice To Members 87-9
Proposed Amendments to Article XIV of the NASD By-Laws and Article V, Sections 1 and 2 of the NASD Rules of Fair Practice Concerning Disciplinary Sanctions
Notice To Members 87-8
South African Sanctions Act Regulations
Notice To Members 87-7
NASDAQ National Market System Grows to 2,775 Securities With 17 Voluntary Additions on February 17, 1987
Notice To Members 87-6
Request for Comments on Proposed Amendments to the NASD's Rules of Practice and Procedure For the Small Order Execution System (SOES)
Notice To Members 87-5
NASDAQ National Market System Grows to 2,754 Securities With 24 Voluntary Additions on February 3, 1987
Notice To Members 87-4
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 87-3
NASDAQ National Market System Grows to 2,729 Securities With 17 Voluntary Additions on January 20, 1987
Notice To Members 87-2
Adoption of Amendments to Article III, Section 28 of the NASD Rules of Fair Practice Regarding Securities Accounts of Associated Persons at Non-NASD Members
Notice To Members 87-1
Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule
Notice To Members 86-87
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 86-88
Effect of the Tax Reform Act of 1986 on NASD Qualifications Examinations
Notice To Members 86-86
NASDAQ National Market System Grows to 2,709 Securities With 26 Voluntary Additions on December 16, 1986
Notice To Members 86-85
Request for Comments on Proposed Amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws
Notice To Members 86-83
Proposed New NASD Rule of Fair Practice Prohibiting Members From Effecting Securities Transactions During Trading Halts
Notice To Members 86-84
NASDAQ National Market System Grows to 2,687 Securities With 30 Voluntary Additions on December 2, 1986
Notice To Members 86-82
1987 Schedule of Holidays
Notice To Members 86-81
Amendments to Appendix F Regarding Freely Tradable Partnership Units Effective Immediately
Notice To Members 86-80
Proposed Changes to the Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Notice To Members 86-79
Quarterly Checklist of Notices to Members
Notice To Members 86-78
NASDAQ National Market System Grows to 2,658 Securities With 21 Voluntary Additions on November 18, 1986
Notice To Members 86-77
John Franklin & Associates 1975 Hempstead Turnpike East Meadow, New York 11554
Notice To Members 86-76
South African Sanctions Act
Notice To Members 86-75
NASDAQ National Market System Grows to 2,638 Securities With 25 Voluntary Additions on November 4, 1986, and Eight Mandatory Inclusions on November 11, 1986
Notice To Members 86-74
Proposed Amendments to Article III, Section 19(f) and Section 33(d) of the NASD Rules of Fair Practice and Article X, Section 6 of the NASD By-Laws
Notice To Members 86-73
Effectiveness of Exemption from NASD Board of Governors' Free-Riding Interpretation for Conversions of Savings and Loan Associations and Certain Other Organizations
Notice To Members 86-72
Norbay Securities, Inc. 36-35 Bell Boulevard Bayside, New York 11361
Notice To Members 86-71
Holiday Settlement Schedule - November 1986
Notice To Members 86-70
NASDAQ National Market System Grows to 2,602 Securities With 12 Voluntary Additions on October 21, 1986
Notice To Members 86-69
Amendments to NASD Rules on Short Sales Become Effective October 15, 1986
Notice To Members 86-68
Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Direct Participation Programs
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