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
Jun 1, 1997 Notice to Members 97-40
Fixed Income Pricing System Additions,Changes, And Deletions As Of May 22, 1997
Jun 1, 1997 Notice to Members 97-39
Independence Day: Trade Date Settlement Date Schedule
Jun 1, 1997 Notice to Members 97-38
SOES Tier Levels Set to Change July 1, 1997
Jun 1, 1997 Notice to Members 97-37
NASD Regulation Requests Comment on Proposed Definition of Correspondence for Rules Regarding Communications with the Public
Comment Period Expired July 15, 1997
Jun 1, 1997 Notice to Members 97-36
NASD Interpretive Letters
Jun 1, 1997 Notice to Members 97-35
Treasury's Foreign Assets Control Office Updates List of Specially Designated Persons and Entities
Jun 1, 1997 Notice to Members 97-34
Depository Trust Company to Launch Initial Public Offering Tracking System
May 1, 1997 Notice to Members FYI May 1997
For Your Information
May 1, 1997 Notice to Members 97-33
Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1997
May 1, 1997 Notice to Members 97-32
NASD Regulation Files Proposed Changes to Disciplinary, Election, and Membership Procedures with the SEC
May 1, 1997 Notice to Members 97-31
NASD Reminds Registered Persons of Continuing Obligation to Update NASD Records
May 1, 1997 Notice to Members 97-30
NASD Regulation Requests Comments on Amendments to the Free-Riding and Withholding Interpretation
Comment Period Expired June 16, 1997
May 1, 1997 Notice to Members 97-29
NASD Regulation Discusses Member Disclosure Obligations and Requests Comment on the Appropriateness of Adopting a Rule Governing Risk Disclosure
Comment Period Expired June 30, 1997
May 1, 1997 Notice to Members 97-28
Approval of Investment Company Rankings Amendments
May 1, 1997 Notice to Members 97-27
Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
May 1, 1997 Notice to Members 97-26
NASD Regulation Files Amendments to Bank Broker/Dealer Rule with the SEC
May 1, 1997 Notice to Members 97-25
NASD Interpretive Position NASD Rule 3050 Transactions for or By Associated Persons
May 1, 1997 Notice to Members 97-24
"Limited Edition" Treasury Securities
May 1, 1997 Notice to Members 97-23
1997 Direct Participation Program Directory
Apr 1, 1997 Notice to Members 97-22
Fixed Income Pricing System Additions, Changes, and Deletions as of March 24, 1997
Apr 1, 1997 Notice to Members 97-21
Memorial Day: Trade Date Settlement Date Schedule
Apr 1, 1997 Notice to Members 97-20
Members Reminded to Report Executive Representative and Address Changes
Apr 1, 1997 Notice to Members 97-19
NASD Regulation and New York Stock Exchange Memorandum Discusses Sweep Report and Provides Guidance on Heightened Supervision Recommendations
Mar 1, 1997 Notice to Members FYI March 1997
For Your Information
Mar 1, 1997 Notice to Members 97-18
Fixed Income Pricing System Additions, Changes, and Deletions as of February 21, 1997

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