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, 1996 Notice to Members FYI December 1996
December FYI
Dec 1, 1996 Notice to Members 96-91
Fixed Income Pricing System Additions, Changes, and Deletions as of November 29, 1996
Dec 1, 1996 Notice to Members 96-90
Trade Date -- Settlement Date Schedule for 1997
Dec 1, 1996 Notice to Members 96-89
NASD 1997 Holiday Schedule
Dec 1, 1996 Notice to Members 96-88
SOES Tier Levels Set to Change January 2, 1997
Dec 1, 1996 Notice to Members 96-87
NASD Regulation PROCTOR Transition to Sylvan Continues
Dec 1, 1996 Notice to Members 96-86
NASD Notice to Members 96-86 - December 1996
Dec 1, 1996 Notice to Members 96-85
Customer Complaint Reporting Rule Update
Dec 1, 1996 Notice to Members 96-84
NASD Regulation Solicits Comment on the Use of Bond Mutual Fund Risk Ratings in Supplemental Sales Literature
Comment Period Expires February 24, 1997
Dec 1, 1996 Notice to Members 96-83
NASD Regulation Solicits Comment on Proposed Rule Relating to Prohibition on Members Receiving any Payment to Publish a Quotation, Make a Market in an Issuer’s Securities, or Submit an Application in Connection Therewith
Comment Period Expires February 3, 1997
Dec 1, 1996 Notice to Members 96-82
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence
Comment Period Expires January 30, 1997
Dec 1, 1996 Notice to Members 96-81
SEC Transaction Fees Begin January 1, 1997, on Nasdaq and Other Prompt Last Sale Reported Non-Debt Transactions
Nov 1, 1996 Notice to Members 96-80
SEC Requests Comments on Proposed Amendments to SEC Rules 17a-3 and 17a-4
Nov 1, 1996 Notice to Members 96-79
Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996
Nov 1, 1996 Notice to Members 96-78
Christmas Day And New Year's Day: Trade Date--Settlement Date Schedule
Nov 1, 1996 Notice to Members 96-77
CRD Will Provide Firms with Advisory Messages When Significant Disciplinary Actions Require Reentry of Individuals into the Regulatory Element of the Continuing Education Program
Nov 1, 1996 Notice to Members 96-76
SEC Approves Amendment to IM-8310-2 Regarding the Availability of Disciplinary Complaints and Disciplinary Decisions Upon Request
Oct 1, 1996 Notice to Members 96-75
Fixed Income Pricing System Additions, Changes, and Deletions as of October 3, 1996
Oct 1, 1996 Notice to Members 96-74
Veterans' Day and Thanksgiving Day: Trade Date--Settlement Date Schedule
Oct 1, 1996 Notice to Members 96-73
Members Reminded to Report Executive Representative and Address Changes
Oct 1, 1996 Notice to Members 96-72
NASD Regulation Computerized Delivery Site Transition to Sylvan Continues
Oct 1, 1996 Notice to Members 96-71
Broker/Dealer and Agent Renewals for 1997
Oct 1, 1996 Notice to Members 96-70
NASD Reminds Members of Prohibition Against Commercial Use of Information Filed Under the Federal Election Campaign Act
Oct 1, 1996 Notice to Members 96-69
Industry/Regulatory Council on Continuing Education Issues Update on the Status of the Securities Industry Continuing Education Program
Oct 1, 1996 Notice to Members 96-68
NASD Solicits Member Comment on Proposed Rules Relating to Prospectus Disclosure of Cash and Non-Cash Compensation for the Sale of Investment Company Securities

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