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 Titlesort descending Description
Jul 10, 2000 Notice to Members 00-46
NASD Announces Interpretation of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
Jul 10, 2000 Notice to Members 00-47
Fixed Income Pricing System Additions, Changes, and Deletions as of June 23, 2000
Jul 10, 2000 Notice to Members 00-48
NASD Adopts Rule Requiring Member Participation in Decimalization Testing; NASD Reminds Selected Members of Survey Deadline: July 28, 2000
Jul 10, 2000 Notice to Members 00-49
SEC Issues Staff Interpretation on the "Free Trading" Status of Blank Check Company Securities Under Certain Scenarios
Jul 24, 2000 Notice to Members 00-50
Withdrawal of Proposed Rule and Reminder of Restrictions on Use of Unregistered Persons
Jul 27, 2000 Notice to Members 00-51
SEC Approves Proposed Rule Change Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control and Restricted Securities, and Options Transactions
Effective Date: August 21, 2000
Aug 7, 2000 Notice to Members 00-52
NASD and Exchanges Submit Decimalization Plan to the SEC
Aug 10, 2000 Notice to Members 00-53
NASD Adopts Exemption From The Corporate Financing Rule for Interval Funds
Effective June 20, 2000
Aug 10, 2000 Notice to Members 00-54
NASD Reminds Members of Methods for Determining Ex-Dividend Dates
Aug 10, 2000 Notice to Members 00-55
NASD Dispute Resolution Will Require Firms to Certify in Writing That They Have Complied with Arbitration Awards Within 30 Days of Receipt
Effective Date: September 18, 2000
Aug 10, 2000 Notice to Members 00-56
SEC Approves Changes to Rule Regarding the Code of Procedure
Aug 10, 2000 Notice to Members 00-57
Fixed Income Pricing System Additions, Changes, and Deletions as of July 20, 2000
Aug 10, 2000 Notice to Members 00-58
Labor Day: Trade Date -- Settlement Date Schedule
Aug 10, 2000 Notice to Members 00-59
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Nomination Deadline: September 15, 2000
Sep 1, 2000 Notice to Members 00-60
Nominees for District Committees and District Nominating Committees
Sep 11, 2000 Notice to Members 00-61
SEC Approves Day-Trading Rules
Effective Date: October 16, 2000
Sep 5, 2000 Notice to Members 00-61
NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
Sep 11, 2000 Notice to Members 00-63
NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
Sep 11, 2000 Notice to Members 00-64
SEC Approves Rule Changes to Amend Mediation Fee Structure
Effective Date: November 1, 2000
Sep 11, 2000 Notice to Members 00-65
Nasdaq is Establishing the Primex Auction System as a New Facility
Sep 11, 2000 Notice to Members 00-66
NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information; SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
Sep 11, 2000 Notice to Members 00-67
Decimalization Implementation Plan
Sep 11, 2000 Notice to Members 00-68
Fixed Income Pricing System Additions, Changes, and Deletions as of August 21, 2000
Sep 11, 2000 Notice to Members 00-69
Columbus Day: Trade Date - Settlement Date Schedule
Sep 29, 2000 Notice to Members 00-70
Nasdaq Requests Comment on Extending Manning Limit Order Protection Interpretation to Premarket Hours
Comment Period Expired October 31, 2000
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.

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