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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 83-36
Subscriptions to Monthly Statistical Reports of NASDAQ Issues
Notice To Members 83-38
SEC Adopts Amendments to Rule 10b-10; Confirmation Rule
Confirmation Rule
Notice To Members 83-39
Real-Time Transaction Reporting in Additional 100 NASDAQ NMS Securities Effective February 8, 1983
Notice To Members 83-41
SEC Staff Issues No-Action Letter Providing Temporary Relief from Certain Provisions of Rules 15c3-1 and 15c3-3 Dealing with Municipal Securities
Notice To Members 83-40
Quarterly Checklist of Notices to Members
Notice To Members 83-42
100 Securities Scheduled to Join NMS in August and September
Notice To Members 83-44
Change of Policy on Overallotment Options
Notice To Members 83-46
Labor Day: Trade Date—Settlement Date Schedule
Notice To Members 83-43
Rescission of Venture Capital Policy and Adoption of New Requirement
Notice To Members 83-45
Adoption of Amendments to Schedule E on Self-Underwriting
Notice To Members 83-47
Proposed New Rule of Fair Practice to Regulate the Activities of Members Experiencing Financial and/or Operational Difficulties
Notice To Members 83-48
Proposed New Rule of Fair Practice Relating To Permission For Members to Carry Customer Accounts
Notice To Members 83-49
Request for Comments on Proposed Amendment to Appendix F Concerning Associate General Partners of Direct Participation Programs
Notice To Members 83-50
50 Securities Scheduled to Join NMS on October 18
Notice To Members 83-51
Columbus Day: Trade Date—Settlement Date Schedule
Notice To Members 83-52
Group Surety Bond Buying Program
Notice To Members 83-54
16 Securities Mandated to Join NMS on November 8, 1983
Notice To Members 83-53
Quarterly Checklist of Notices to Members
Notice To Members 83-55
Amendments to Association By-Laws
Notice To Members 83-56
Fidelity Bonds — Definition of "Employee"; Expiration of Grace Period
Expiration of Grace Period
Notice To Members 83-57
Trade Date—Settlement Date Schedule for Election Day and Veterans Day
Notice To Members 83-59
Pilot Ends — Expansion of ITS/CAES Linkage — Open to All Rule 19c-3 Securities — ATT Divestiture
Notice To Members 83-58
SEC Rule Change Relating to Foreign Securities in NASDAQ
Notice To Members 83-60
National Market System to Expand to 635 Issues November 22
Notice To Members 83-61
Holiday Schedule for Remainder of 1983
Notice To Members 83-62
American Telephone and Telegraph Company (AT & T) Divestiture
Notice To Members 83-65
Due Diligence and Certification Requirements With Respect To Taxpayer Identification Numbers and Backup Withholding
Notice To Members 83-64
Implementation of the Revised Direct Participation Programs Principal Examination (Series 39)
Notice To Members 83-63
1984 Schedule of Holidays
Notice To Members 83-66
51 Securities To Voluntarily Join NMS on Tuesday, December 20
Notice To Members 83-67
Proposed Amendments to the Corporate Financing Rule Proposed Amendments to Section 26 of the Rules of Fair Practice
Notice To Members 83-70
Automatic Money Market Fund Redemptions
Notice To Members 83-69
Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit investment Trust Securities
Notice To Members 83-72
Request for Comments on Proposed Amendment to Schedule C to the By-Laws
Notice To Members 83-71
Hanover Square Securities Group Inc. 5 Hanover Square New York, New York 10004
Notice To Members 83-73
SEC Adopts Rule 15c2-2 Governing Binding Arbitration Clauses in Customer Agreements
Notice To Members 83-74
Proposed Amendments to Article III, Section 19 of the Rules of Fair Practice, "Customers Securities or Funds"
Notice To Members 84-1
National Market System to Expand to 728 Issues January 17; and Year-End NASDAQ Market Highlights
and Year-End NASDAQ Market Highlights
Notice To Members 84-2
12 Securities Mandated Into NMS on February 7, 1984
Notice To Members 84-3
Temporary Relief from Certain Provisions of Rules 15e3-4 and 15c3-3 Dealing with Registered Municipal Securities is Extended until March 31, 1984, by SEC Staff
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