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
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.
Mar 11, 2001 Notice to Members 01-17
Web CRD Email Notifications Regarding Regulatory Element Requirements and Notifications of CE Inactive Registered Persons
Mar 11, 2001 Notice to Members 01-18
SEC Approves Rules to Require Fixed Income Transaction Reporting and Dissemination
Effective Date: 180 Days After Publication of TRACE Technical Specifications
Mar 11, 2001 Notice to Members 01-19
SEC Approves Trade Reporting for PORTAL Securities
Effective June 16, 2001 for PORTAL Equity Securities
Mar 11, 2001 Notice to Members 01-20
Nasdaq Announces Decimalization Rule Changes
Mar 11, 2001 Notice to Members 01-21
Fixed Income Pricing System Additions, Changes, and Deletions as of January 22, 2001
Mar 15, 2001 Notice to Members 01-22
NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
Mar 18, 2001 Notice to Members 01-23
Suitability Rule and Online Communications
Mar 20, 2001 Notice to Members 01-24
SEC Approves Proposed Changes to Rule 2330(f)(2) Relating to Performance Fees
Mar 26, 2001 Notice to Members 01-25
SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
Mar 27, 2001 Notice to Members 01-26
SEC Approves Proposed Rule Change Relating to Day-Trading Margin Requirements
Apr 10, 2001 Notice to Members 01-27
NASD Revises Sanction Guidelines
Apr 10, 2001 Notice to Members 01-28
Fixed Income Pricing System Additions, Changes, and Deletions as of February 22, 2001
May 10, 2001 Notice to Members 01-29
SEC Approves Amendments to Prohibit Terminated or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers in the NASD Arbitration Forum
Effective Date: June 11, 2001
May 10, 2001 Notice to Members 01-30
Member Obligations to Provide Statistical Information About Order Routing Under Rule 11Ac1-6 of the Securities Exchange Act of 1934
May 4, 2001 Notice to Members 01-31
SEC Approves NASD Rule Proposal Requiring Delivery Of Margin Disclosure Statement To Non-Institutional Customers

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