Notices

FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pub Titlesort descending Description
Jun 12, 2000 Notice to Members 00-41
SEC Approves Trade Halt Rule for OTCBB; Effective Date: June 26, 2000
Jun 14, 2000 Notice to Members 00-42
NASD Regulation, Inc. Reiterates the Obligation of Member Firms to Comply with Trading Rules, Particularly Immediately Prior to the Close on Expiration Fridays and Index Rebalancing Days
Jun 15, 2000 Notice to Members 00-43
SEC Approves Changes to Transaction Reporting Procedures for Weighted Average and Special Pricing Formula Trades
Effective Date: July 17, 2000
Jun 16, 2000 Notice to Members 00-44
NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
Jul 5, 2000 Notice to Members 00-45
NASD Announces Changes to SEC Rule 15c3-3 Extension Request Reason Codes
Effective Date: July 10, 2000
Correction - On page 1, the second paragraph under subhead Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, the entry of either Issue Symbol or CUSIP will be required.
Jul 10, 2000 Notice to Members 00-46
NASD Announces Interpretation of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
Jul 10, 2000 Notice to Members 00-47
Fixed Income Pricing System Additions, Changes, and Deletions as of June 23, 2000
Jul 10, 2000 Notice to Members 00-48
NASD Adopts Rule Requiring Member Participation in Decimalization Testing; NASD Reminds Selected Members of Survey Deadline: July 28, 2000
Jul 10, 2000 Notice to Members 00-49
SEC Issues Staff Interpretation on the "Free Trading" Status of Blank Check Company Securities Under Certain Scenarios
Jul 24, 2000 Notice to Members 00-50
Withdrawal of Proposed Rule and Reminder of Restrictions on Use of Unregistered Persons
Jul 27, 2000 Notice to Members 00-51
SEC Approves Proposed Rule Change Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control and Restricted Securities, and Options Transactions
Effective Date: August 21, 2000
Aug 7, 2000 Notice to Members 00-52
NASD and Exchanges Submit Decimalization Plan to the SEC
Aug 10, 2000 Notice to Members 00-53
NASD Adopts Exemption From The Corporate Financing Rule for Interval Funds
Effective June 20, 2000
Aug 10, 2000 Notice to Members 00-54
NASD Reminds Members of Methods for Determining Ex-Dividend Dates
Aug 10, 2000 Notice to Members 00-55
NASD Dispute Resolution Will Require Firms to Certify in Writing That They Have Complied with Arbitration Awards Within 30 Days of Receipt
Effective Date: September 18, 2000
Aug 10, 2000 Notice to Members 00-56
SEC Approves Changes to Rule Regarding the Code of Procedure
Aug 10, 2000 Notice to Members 00-57
Fixed Income Pricing System Additions, Changes, and Deletions as of July 20, 2000
Aug 10, 2000 Notice to Members 00-58
Labor Day: Trade Date -- Settlement Date Schedule
Aug 10, 2000 Notice to Members 00-59
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Nomination Deadline: September 15, 2000
Sep 1, 2000 Notice to Members 00-60
Nominees for District Committees and District Nominating Committees
Sep 11, 2000 Notice to Members 00-61
SEC Approves Day-Trading Rules
Effective Date: October 16, 2000
Sep 5, 2000 Notice to Members 00-61
NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
Sep 11, 2000 Notice to Members 00-63
NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
Sep 11, 2000 Notice to Members 00-64
SEC Approves Rule Changes to Amend Mediation Fee Structure
Effective Date: November 1, 2000
Sep 11, 2000 Notice to Members 00-65
Nasdaq is Establishing the Primex Auction System as a New Facility

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