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
Jan 1, 1998 Notice to Members 98-11
SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence
Effective February 15, 1998
Jan 1, 1998 Notice to Members 98-10
Transaction Reporting and Quotation Obligations Under the Fixed Income Pricing System (FIPS)
Jan 1, 1998 Notice to Members 98-09
1997-98 Renewal Rosters and Final Adjusted Invoices
Jan 1, 1998 Notice to Members 98-08
Treasury Requires Reporting of Claims Against Government of North Korea
Jan 1, 1998 Notice to Members 98-07
Unregistered Foreign Equities and ADRs No Longer Eligible for Quotation in OTC Bulletin Board
Effective April 1, 1998
Jan 1, 1998 Notice to Members 98-06
SEC Approves Changes to Rules on Market Maker Withdrawals and Reinstatements
Jan 1, 1998 Notice to Members 98-05
SEC Approves Changes to Third Market Trading Rules
Jan 1, 1998 Notice to Members 98-04
Reminder of Members' Obligations to Comply with Rule15c2-4
Jan 1, 1998 Notice to Members 98-03
Electronic Delivery of Information Between Members and Their Customers
Jan 1, 1998 Notice to Members 98-02
SEC Approves Amendments to Rule 1010, 8000, and 9000 Series to Reflect Changes in NASD Corporate Organization
Jan 1, 1998 Notice to Members 98-01
Arbitration Process Fees
Dec 1, 1997 Notice to Members December 1997 Survey
Survey
Dec 1, 1997 Notice to Members FYI December 1997
For Your Information
Dec 1, 1997 Notice to Members 97-97
Mail Vote NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts; And For Other Purposes
Last Voting Date: January 30, 1998
Dec 1, 1997 Notice to Members 97-96
Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey
Dec 1, 1997 Notice to Members 97-95
Fixed Income Pricing System Additions, Changes, and Deletions as of November 21, 1997
Dec 1, 1997 Notice to Members 97-94
NASD 1998 Holiday Schedule
Dec 1, 1997 Notice to Members 97-93
Trade Date Settlement Date Schedule for 1998
Dec 1, 1997 Notice to Members 97-92
NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices to Members And Regulatory & Compliance Alert
Comment Period Expired January 31, 1998
Dec 1, 1997 Notice to Members 97-91
NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation
Dec 1, 1997 Notice to Members 97-90
SOES Tier-Size Levels Set To Change January 1, 1998
Dec 1, 1997 Notice to Members 97-89
SEC Approves Bank Broker/Dealer Rule; Effective February 15, 1998
Dec 1, 1997 Notice to Members 97-88
SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority; Effective Immediately
Dec 1, 1997 Notice to Members 97-87
Treasury Updates List of Specially Designated Persons and Entities
Nov 1, 1997 Notice to Members FYI November 1997
For Your Information

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