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
Nov 10, 2000 Notice to Members 00-82
Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
Dec 11, 2000 Notice to Members 00-83
NASD Regulation to Make Statutory Disqualification Decisions Publicly Available in Redacted Format
Dec 11, 2000 Notice to Members 00-84
NASD Regulation Requests Comment on a Proposed Amendment to NASD Rule 2320(g) to Exclude Certain Transactions in Foreign Securities
Comment Period Expired January 11, 2001
Dec 11, 2000 Notice to Members 00-85
NASD to Deduct Delinquent Corporate Financing Filing Fees from CRD Account
Dec 11, 2000 Notice to Members 00-86
Review of Decimalization Testing
Dec 11, 2000 Notice to Members 00-87
Fixed Income Pricing System Additions, Changes, and Deletions as of November 22, 2000
Dec 11, 2000 Notice to Members 00-88
Trade Date - Settlement Date Schedule for 2001
Dec 11, 2000 Notice to Members 00-89
NASD 2001 Holiday Schedule
Dec 21, 2000 Notice to Members 00-90
Mail Vote - NASD Solicits Vote on Amendments to the NASD By-Laws on Selected Corporate Governance Issues
Last Voting Date: January 22, 2001
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
Jan 10, 2001 Notice to Members 01-01
SEC Approves Proposed Changes to NASD Rule 2860
Jan 10, 2001 Notice to Members 01-02
2001 Renewal Rosters and Final Renewal Statements
Jan 10, 2001 Notice to Members 01-03
SEC Approves Early Expiration of Large and Complex Cases Rule
Effective Date: December 31, 2000
Jan 10, 2001 Notice to Members 01-04
SEC Approves Amendments to Director's Authority to Remove Arbitrators for Cause
Effective Date: February 12, 2001 Superseded by NTM 01-13 (eff. March 8, 2001)
Jan 10, 2001 Notice to Members 01-05
Nasdaq Announces Additional Decimalization Testing Dates
Jan 10, 2001 Notice to Members 01-06
NASD Regulation Requests Comment on Member Facilitation of Lending Between Customers
Comment Period Expired February 12, 2001
Jan 10, 2001 Notice to Members 01-07
Important Reminders About Web CRD Notification of Regulatory Element Continuing Education Requirements and Inactive Registered Persons
Jan 10, 2001 Notice to Members 01-08
NASD Adopts Amendments to Customer Account Statement Rule
Effective April 16, 2001
Jan 10, 2001 Notice to Members 01-09
Fixed Income Pricing System Additions, Changes, and Deletions as of November 27, 2000
Jan 10, 2001 Notice to Members 01-10
Trade Date-Settlement Date Schedule
Jan 25, 2001 Notice to Members 01-11
SEC Approves Proposed Rule Change Relating to Cash And Margin Treatment for Certain Types of Options Positions
Feb 9, 2001 Notice to Members 01-12
Nasdaq Announces Additional Decimalization Pilot Phase for
March 26, 2001
Feb 6, 2001 Notice to Members 01-13
SEC Approves Amendments to Director's Authority to Remove Arbitrators For Cause
Effective Date: March 8, 2001
Feb 9, 2001 Notice to Members 01-14
SEC Approves Revision to Membership and Registration Rule 1120-Continuing Education Requirements-Permitting In-Firm Delivery
Feb 9, 2001 Notice to Members 01-15
Fixed Income Pricing System Additions, Changes, and Deletions as of December 26, 2000
Feb 8, 2001 Notice to Members 01-16
Member Obligations to Provide Statistical Information About Order Executions Under Rule 11Ac1-5 of the Securities Exchange Act of 1934
The SEC extended by 30 days (from April 2, 2001 to May 1, 2001) the compliance date for the first phase-in of securities subject to the Rule. The SEC also issued interpretive guidance for the Rule and granted certain exemptions, including an additional extension of time for certain smaller market centers that contract with a vendor to provide the necessary reporting services. See below for a listing of associated documents.

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