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 Title Description
Mar 1, 1998 Notice to Members 98-34
SEC Requests Comment on Amendments to Rule 17a-5 Requiring Reports on Year 2000 Preparedness
Mar 1, 1998 Notice to Members 98-33
SEC Approves New Order Audit Trail System (OATS)
Mar 1, 1998 Notice to Members 98-32
Good Friday: Trade Date -- Settlement Date Schedule
Mar 1, 1998 Notice to Members 98-31
Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 1998
Mar 1, 1998 Notice to Members 98-30
NASD Office of the Ombudsman Clarifies Its Role
Mar 1, 1998 Notice to Members 98-29
SOES Tier-Size Levels Set to Change April 1, 1998
Mar 1, 1998 Notice to Members 98-28
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Mar 1, 1998 Notice to Members 98-27
Interim Forms U-4 and U-5 Go Into Effect; Interim Form BD Also Approved
Feb 1, 1998 Notice to Members FYI February 1998
For Your Information
Feb 1, 1998 Notice to Members 98-26
SEC Approves Temporary Changes to NYSE Circuit Breaker/Trading Halt Rules
Feb 1, 1998 Notice to Members 98-25
Fixed Income Pricing System Additions, Changes, and Deletions as of January 23, 1998
Feb 1, 1998 Notice to Members 98-24
Annual Checklist of NASD Notices to Members
Feb 1, 1998 Notice to Members 98-23
SEC Requests Comment on Proposed Amendments to Continuing Education Rules
Feb 1, 1998 Notice to Members 98-22
Year 2000 Frequently Asked Questions
Feb 1, 1998 Notice to Members 98-21
SEC Approves Amendments to Rule on Clearly Erroneous Transactions
Feb 1, 1998 Notice to Members 98-20
Treasury Updates List of Specially Designated Persons and Entities
Feb 1, 1998 Notice to Members 98-19
SEC Requests Comment on Proposed Amendments to Net Capital Rule
Feb 1, 1998 Notice to Members 98-18
NASD Regulation Permits Electronic Methods for Holding Annual Interviews or Meetings with Registered Representatives
Feb 1, 1998 Notice to Members 98-17
SEC Approves New NASD Qualification Requirements and Examination for Equity Traders (Series 55)
Feb 1, 1998 Notice to Members 98-16
SEC Approves New Qualification Examination for Government Securities Representatives (Series 72) and New Registration Requirements for Registered Options Representatives (Series 42)
Jan 1, 1998 Notice to Members FYI January 1998
For Your Information
Jan 1, 1998 Notice to Members 98-15
NASD Regulation Requests Comment on Proposal to Adopt Recommendation and Disclosure Rules for Over-The-Counter (OTC) Equity Securities
Comment Period Expired March 16, 1998
Jan 1, 1998 Notice to Members 98-14
NASD Requests Comment on Limiting Quotations on Over-the-Counter Bulletin Board (OTCBB) to Securities of Reporting Issuers
Comment Period Expired March 16, 1998
Jan 1, 1998 Notice to Members 98-13
Fixed Income Pricing System Additions, Changes, and Deletions as of December 30, 1997
Jan 1, 1998 Notice to Members 98-12
Presidents' Day: Trade Date -- Settlement Date Schedule

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