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
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
Oct 1, 1996 Notice to Members 96-67
Bank Secrecy Act Recordkeeping Rule for Funds Transfers and Transmittals of Funds
Oct 1, 1996 Notice to Members 96-66
SEC Expands Scope of Conduct Rules and Other NASD Rules to Government Securities; Approves New Suitability Interpretation
Oct 1, 1996 Notice to Members 96-65
New SEC Rules on Order Handling and Execution of Customer Orders
Sep 1, 1996 Notice to Members 96-64
Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
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

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