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
Feb 1, 1996 Notice to Members 96-11
Presidents' Day: Trade Date--Settlement Date Schedule
Feb 1, 1996 Notice to Members 96-10
Expanded Limit-Order Protection Rule Gets Further Clarification by NASD
Feb 1, 1996 Notice to Members 96-09
SEC Approves NASD Proposal Relating to Third-Market Trading in IPOs of Exchange-Listed Securities
Feb 1, 1996 Notice to Members 96-08
SEC Approves Amendments to Section 59 of the Uniform Practice Code Clarifying Delivery Deadlines That May be Specified in Buy-In Notices
Jan 1, 1996 Notice to Members 96-07
Fixed Income Pricing System Additions, Changes, and Deletions as of December 28, 1996
Jan 1, 1996 Notice to Members 96-06
Nasdaq National Market Additions, Changes, and Deletions as of December 20, 1995
Jan 1, 1996 Notice to Members 96-05
CRD Redesign Requires Actions by Members
Jan 1, 1996 Notice to Members 96-04
1995-96 Renewal Rosters and Final Adjusted Invoices
Jan 1, 1996 Notice to Members 96-03
NASD Files with the SEC Proposed Rule Governing Members Operating on Bank Premises
Jan 1, 1996 Notice to Members 96-02
SEC Approves Amendments to Article II, Section 4 of the NASD By-Laws to Include Statutory Disqualification Provisions Adopted by Congress
Jan 1, 1996 Notice to Members 96-01
Mail Vote--NASD Solicits Member Vote on Amendments to the NASD By-Laws to Require Members to File Required Documents Electronically
Last Voting Date: February 16, 1996

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