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
Sep 1, 1996 Notice to Members 96-63
Columbus Day: Trade Date--Settlement Date Schedule
Sep 1, 1996 Notice to Members 96-62
SOES Tier Levels Set to Change October 1, 1996
Sep 1, 1996 Notice to Members 96-61
NASD Regulation Computerized Delivery Site Transition Continues
Sep 1, 1996 Notice to Members 96-60
Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities
Sep 1, 1996 Notice to Members 96-59
NASD Solicits Member Comment on Proposed Rule Governing Tape Recording of Telephone Conversations
Comment Period Expires October 31, 1996
Sep 1, 1996 Notice to Members 96-58
Approval of Amendments that Require Members to Provide Information to Other Regulators for Regulatory Purposes
Aug 1, 1996 Notice to Members 96-57
Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996
Aug 1, 1996 Notice to Members 96-56
Labor Day: Trade Date--Settlement Date Schedule
Aug 1, 1996 Notice to Members 96-55
NASD Regulation Offers Software to Help Members Comply with Continuing Education Requirements
Aug 1, 1996 Notice to Members 96-54
NASD Regulation Reminds Members of Reporting Obligations of MSRB Rules G-37 and G-38, and Announces Sanction Guidelines for Failure to Report Form G-37/G-38
Aug 1, 1996 Notice to Members 96-53
Approval of Amendments to the Definitions of Bona Fide Independent Market and Bona Fide Independent Market Maker
Aug 1, 1996 Notice to Members 96-52
NASD Solicits Member Comments on Proposed Rules Relating to the Sale of Variable Life Insurance Contracts and Variable Annuity Contracts
Jul 1, 1996 Notice to Members 96-51
Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
Jul 1, 1996 Notice to Members 96-50
Supervisory and Other Obligations Related to Use of Electronic Media
Jul 1, 1996 Notice to Members 96-49
Members Reminded to Report Address, Contact Changes to NASD
Jul 1, 1996 Notice to Members 96-48
New London Training Center; Registered Representatives in England, Scotland, and Wales Must Comply with Continuing Education Requirements
Jul 1, 1996 Notice to Members 96-47
NASD Regulation, Inc., Expanding Computerized Delivery Sites
Jul 1, 1996 Notice to Members 96-46
CRD Disclosure Conversion
Jul 1, 1996 Notice to Members 96-45
NASD Appoints Ombudsman
Jul 1, 1996 Notice to Members 96-44
NASD Interprets NASD Rule 2110 and Files Telemarketing Rule Changes with SEC
Jul 1, 1996 Notice to Members 96-43
SEC Approves NASD By-Laws Amendments Regarding Gross Revenue
Jun 1, 1996 Notice to Members 96-42
Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996
Jun 1, 1996 Notice to Members 96-41
Independence Day: Trade Date--Settlement Date Schedule
Jun 1, 1996 Notice to Members 96-40
SOES Tier Levels Set to Change July 1, 1996
Jun 1, 1996 Notice to Members 96-39
Request for Comments on Proposed Changes to Regulations G, T, and U

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