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
May 1, 1998 Notice to Members 98-39
NASD Revises Sanction Guidelines
May 1, 1998 Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Apr 1, 1998 Notice to Members FYI April 1998
For Your Information
Apr 1, 1998 Notice to Members 98-37
Memorial Day: Trade Date -- Settlement Date Schedule
Apr 1, 1998 Notice to Members 98-36
Fixed Income Pricing System Additions, Changes, and Deletions as of March 25, 1998
Apr 1, 1998 Notice to Members 98-35
SEC Approves Changes to Continuing Education Rules
Mar 1, 1998 Notice to Members FYI March 1998
For Your Information
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

Pages