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
Oct 1, 1997 Notice to Members 97-68
SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720; Effective September 4, 1997
Oct 1, 1997 Notice to Members 97-67
NASD Regulation Institutes Firm Quote Compliance
Sep 1, 1997 Notice to Members FYI September 1997
For Your Information
Sep 1, 1997 Notice to Members 97-66
Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
Sep 1, 1997 Notice to Members 97-65
Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages
Sep 1, 1997 Notice to Members 97-64
Fixed Income Pricing System Additions, Changes, and Deletions as of August 22, 1997
Sep 1, 1997 Notice to Members 97-63
Columbus Day: Trade Date Settlement Date Schedule
Sep 1, 1997 Notice to Members 97-62
SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement of SEC Fee Rate Algorithm
Sep 1, 1997 Notice to Members 97-61
SOES Tier Size Levels Set to Change October 1, 1997
Sep 1, 1997 Notice to Members 97-60
SEC Approves New Procedures for Granting Exemptions to NASD Rules
Sep 1, 1997 Notice to Members 97-59
NASD Regulation Requests Comment on Injunctive Relief and Expedited Proceedings
Comment Period Expired October 31, 1997
Sep 1, 1997 Notice to Members 97-58
NASD Regulation Requests Comment on Proposed Interpretive Material 1031 Regarding Cold Calling Activity
Comment Period Expired October 31, 1997
Sep 1, 1997 Notice to Members 97-57
NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
Sep 1, 1997 Notice to Members 97-56
Intermarket Surveillance Group Issues New Automated Reporting Requirements
Aug 1, 1997 Notice to Members FYI August 1997
For Your Information
Aug 1, 1997 Notice to Members 97-55
New Membership Application Rules, New Code of Procedure, and Other New Disciplinary Rules
Aug 1, 1997 Notice to Members 97-54
Fixed Income Pricing System Additions, Changes, and Deletions as of July 25, 1997
Aug 1, 1997 Notice to Members 97-53
Labor Day: Trade Date Settlement Date Schedule
Aug 1, 1997 Notice to Members 97-52
SEC Approves Amendments Relating to Market Maker Registration and Primary Market Maker Eligibility by Managers And Co-Managers of Secondary Offerings
Aug 1, 1997 Notice to Members 97-51
NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
Aug 1, 1997 Notice to Members 97-50
NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
Comment Period Expired October 15, 1997
Aug 1, 1997 Notice to Members 97-49
Compliance with SEC Order Handling Rules and Nasdaq Trading Rules
Aug 1, 1997 Notice to Members 97-48
NASD Regulation Requests Comment on Amendments to Rules Governing Sale and Distribution of Investment Company Shares and Variable Insurance Products
Comment Period Expired September 29, 1997
Aug 1, 1997 Notice to Members 97-47
NASD Regulation Requests Comment on Presentation of Related Performance Information
Comment Period Expired September 29, 1997
Aug 1, 1997 Notice to Members 97-46
SEC Approves Rule Prohibiting Payments for Market Making

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