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
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
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

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