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, 1996 Notice to Members 96-36
SEC Approves Amendment to the Primary Market-Maker Standards
May 1, 1996 Notice to Members 96-35
Mail Vote--NASD Solicits Member Vote on Amendments to the NASD By-Laws to Make By-Laws Consistent with the "Plan of Allocation and Delegation of Functions by NASD to Subsidiaries"; Last Voting Date: June 22, 1996
May 1, 1996 Notice to Members 96-34
Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996
May 1, 1996 Notice to Members 96-33
NASD Clarifies Rules Governing RR/IAs
May 1, 1996 Notice to Members 96-32
Members Reminded to Use Best Practices When Dealing in Speculative Securities
Apr 1, 1996 Notice to Members 96-31
Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996
Apr 1, 1996 Notice to Members 96-30
Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996
Apr 1, 1996 Notice to Members 96-29
Memorial Day: Trade Date-Settlement Date Schedule
Apr 1, 1996 Notice to Members 96-28
NASD Revises Sanction Guidelines
Apr 1, 1996 Notice to Members 96-27
Significant Disciplinary Actions Prompt Reentry into the Regulatory Element of the Continuing Education Program
Apr 1, 1996 Notice to Members 96-26
SEC Approves Schedule C Changes Regarding Use of the Modified Series 7 to Qualify Canadian Registrants
Effective Date: April 15, 1996
Apr 1, 1996 Notice to Members 96-25
SEC Approves NASD Manual Revisions; Publication Scheduled for May
Apr 1, 1996 Notice to Members 96-24
SEC Approves Rule Mandating TIF Immobilization
Effective Date: July 1, 1996
Mar 1, 1996 Notice to Members 96-23
Treasury Issues Updated List of Specially Designated Nationals and Blocked Persons
Mar 1, 1996 Notice to Members 96-22
Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
Mar 1, 1996 Notice to Members 96-21
Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1996
Mar 1, 1996 Notice to Members 96-20
Good Friday: Trade Date--Settlement Date Schedule
Mar 1, 1996 Notice to Members 96-19
Annual Check List of NASD Notices to Members
Mar 1, 1996 Notice to Members 96-18
Compliance Desk Will Help Members Report Free-Riding and Witholding Information to NASD; Workshops Scheduled for Late April, Early May
Mar 1, 1996 Notice to Members 96-17
SOES Tier Levels Set to Change April 1, 1996
Mar 1, 1996 Notice to Members 96-16
NASD Adds Remote Sites to Deliver Training and Exams
Mar 1, 1996 Notice to Members 96-15
SEC Approves NASD Proposals to Add Two New Options Position-Limit Tiers and Extend and Expand NASD's Equity Option Position-Limit Hedge Exemption Pilot Program
Mar 1, 1996 Notice to Members 96-14
SEC Approves Amendments to Sections 1(a)(v) and 73 of NASD Uniform Practice Code Relating to the Use of Standardized Limited Partnership Transfer Forms
Feb 1, 1996 Notice to Members 96-13
Fixed Income Pricing System Additions, Changes, and Deletions as of January 30, 1996
Feb 1, 1996 Notice to Members 96-12
Nasdaq National Market Additions, Changes, and Deletions as of January 19, 1996

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