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
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
Nov 1, 1997 Notice to Members 97-86
Nominees for NASD Board of Governors
Nov 1, 1997 Notice to Members 97-85
Fixed Income Pricing System Additions, Changes, and Deletions as of October 24, 1997
Nov 1, 1997 Notice to Members 97-84
Christmas Day And New Years Day: Trade Date Settlement Date Schedule
Nov 1, 1997 Notice to Members 97-83
Exemption from SEC Rule 15c2-11 for Certain Securities Delisted from Nasdaq
Nov 1, 1997 Notice to Members 97-82
SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers; Effective December 15, 1997
Nov 1, 1997 Notice to Members 97-81
NASD Regulation Requests Comment on Proposed Amendments Relating to Compensation for Sale of Public Offerings of Direct Participation Programs
Comment Period Expired January 9, 1998
Nov 1, 1997 Notice to Members 97-80
SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments; Effective Immediately
Nov 1, 1997 Notice to Members 97-79
NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements
Comment Period Expired December 1, 1997
Nov 1, 1997 Notice to Members 97-78
SEC Approves Rule Relating To Distribution Of Information Concerning NASD's Public Disclosure Program
Nov 1, 1997 Notice to Members 97-77
NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice
Comment Period Expired December 31, 1997
Nov 1, 1997 Notice to Members 97-76
Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities
Oct 14, 1997 Notice to Members 97-75
Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
Last Voting Date: November 13, 19971(Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.)
Oct 1, 1997 Notice to Members FYI October 1997
For Your Information
Oct 1, 1997 Notice to Members 97-74
SEC Approves Amendments To Legal Definition Of Short Sale
Oct 1, 1997 Notice to Members 97-73
Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997
Oct 1, 1997 Notice to Members 97-72
Veterans Day And Thanksgiving Day: Trade Date Settlement Date Schedule
Oct 1, 1997 Notice to Members 97-71
NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
Oct 1, 1997 Notice to Members 97-70
Broker-Dealer And Agent Renewals For 1998
Oct 1, 1997 Notice to Members 97-69
No Notice has been designated as 97-69

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