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 94-14 | NASD Clarifies Compensation Disclosure Requirements For Mutual Funds In Article III, Section 26 Of The NASD Rules Of Fair Practice
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| Notice To Members 94-19 | Appointment Of A SI PC Trustee
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| Notice To Members 94-16 | NASD Reminds Members Of Mutual Fund Sales Practice Obligations
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| Notice To Members 94-29 | SEC Approves Use Of Market-Maker Identifiers For OTCBB And Elimination Of Certain Schedule H Reporting Requirements
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| Notice To Members 94-26 | SEC Approves Surcharge On Any NASD Member Named As A Party To An Arbitration Proceeding
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| Notice To Members 94-31 | Nasdaq National Market Additions, Changes, And Deletions As Of March 28, 1994
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| Notice To Members 94-23 | Fixed Income Pricing System (FIPS) Begins Operation
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| Notice To Members 94-28 | Effectiveness Of New Section 46 Of Article III Of The Rules Of Fair Practice Delayed Until September 15, 1994
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| Notice To Members 94-25 | SEC Approves Amendments To Filing Requirements For Communications Regarding Mutual Fund Rankings And CMOs Effective June 1, 1994
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| Notice To Members 94-30 | Memorial Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-22 | Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The Pre-Membership Interview Procedures;
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| Notice To Members 94-27 | Increased Advertising Regulation Department Filing Fees Take Effect May 1, 1994
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| Notice To Members 94-24 | SEC Approves Amendments To Remove The Member Vote Requirement For Amendments To The Rules Of Fair Practice And Incorporate Appendices Into Rules Of Fair Practice
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| Notice to Selected Members | Special Notice to Selected Members
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| Notice To Members 94-52 | Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The NASD By-Laws To Facilitate The NASD Manual Revision;
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| Notice To Members 94-57 | Nasdaq National Market Additions, Changes, And Deletions As Of June 28, 1994
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| Notice To Members 94-54 | NASD Solicits Public Comment On Approaches Governing Award Of Punitive Damages In Arbitration
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| Notice To Members 94-56 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 28, 1994
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| Notice To Members 94-53 | SEC Proposes Amendments To Regulation T
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| Notice To Members 94-55 | Members Reminded To Report Address, Contact Changes To NASD
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| Notice To Members 94-59 | Rule Proposals Of The Industry/Regulatory Council On Continuing Education
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| Notice To Members 94-58 | SEC Approves New NASD Limit Order Protection Rule
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| Notice To Members 94-60 | SEC Approves Guidelines Relating To The Use Of Rankings In Investment Company Advertisements And Sales Literature
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| Notice To Members 94-65 | Nasdaq National Market Additions, Changes, And Deletions As Of July 28, 1994
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| Notice To Members 94-62 | NASD Solicits Member Comments On The Application Of The NASD Mark-Up Policy To Transactions In Government And Other Debt Securities, And Suitability Obligations To Institutional Customers In Debt And Equity Transactions;
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| Notice To Members 94-67 | NASD Solicits Member Comment On Cash And Non-Cash Compensation For Selling Investment Company And Variable Contract Securities;
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| Notice To Members 94-64 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-61 | SEC Approves Amendment To Code Of Arbitration Procedure Permitting Arbitrator Disciplinary Referrals
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| Notice To Members 94-66 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 29, 1994
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| Notice To Members 94-63 | New Section 46 Of Article III Of The Rules Of Fair Practice Governing The Repricing Of Open Orders Takes Effect September 15, 1994
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| Notice To Members 94-68 | SEC Approves Short-Sale Rule For The Nasdaq Stock Market
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| Notice To Members 94-76 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-73 | SEC Approves Clearance And Settlement Proposal For Nasdaq And OTCBB Market Makers
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| Notice To Members 94-78 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 29, 1994
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| Notice To Members 94-70 | SEC Approves Adoption Of NASD Limited Partnership Rollup Transaction Rules;
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| Notice To Members 94-75 | NASD Requests Comment On Standardized Forms Proposed For DPP Securities;
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| Notice To Members 94-72 | SEC Approves Elimination Of Access Market-Maker Procedures
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| Notice To Members 94-77 | Nasdaq National Market Additions, Changes, And Deletions As Of August 29, 1994
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| Notice To Members 94-69 | Committee On Compensation Practices Requests Comment;
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| Notice To Members 94-74 | NASAA Publishes Form Revisions For Public Comment:
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