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
Aug 1, 1997 Notice to Members 97-45
Corrected List of SOES Tier Size Levels Effective July 1, 1997
Jul 1, 1997 Notice to Members 97-44
Fixed Income Pricing System Additions, Changes, and Deletions as of June 20, 1997
Jul 1, 1997 Notice to Members 97-43
SEC Amends Broker/Dealer Record Retention Rule
Jul 1, 1997 Notice to Members 97-42
SEC Approves Amendments Relating To The Release Of Disciplinary Information
Jun 1, 1997 Notice to Members FYI June 1997
For Your Information
Jun 1, 1997 Notice to Members 97-41
NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market
Comment Period Expired July 15, 1997
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

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