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
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.
Oct 10, 2000 Notice to Members 00-71
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
Oct 10, 2000 Notice to Members 00-72
Broker/Dealer and Agent Renewals for 2001
Payment Deadline: December 8, 2000
Oct 10, 2000 Notice to Members 00-73
SEC Approves Amendments To NASD Membership Rules
Effective Date: November 15, 2000
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
Oct 10, 2000 Notice to Members 00-74
NASD Announces Election Results for District Committees and District Nominating Committees
Oct 10, 2000 Notice to Members 00-75
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Oct 10, 2000 Notice to Members 00-76
Fixed Income Pricing System Additions, Deletions, and Changes as of September 22, 2000
Oct 10, 2000 Notice to Members 00-77
Thanksgiving Day: Trade Date -- Settlement Date Schedule
Oct 24, 2000 Notice to Members 00-78
SEC Approves Proposed Changes to the NASD Three Quote Rule and Related Recordkeeping Requirements
Effective Date: November 24, 2000
Nov 10, 2000 Notice to Members 00-79
Nasdaq Adopts Alternative Approach for Complying With Riskless Principal Trade-Reporting Rules and Issues Net Trading Interpretation; Riskless Principal Trade-Reporting Rules will be Implemented on February 1, 2001
Nov 10, 2000 Notice to Members 00-80
Nasdaq Decimalization Testing & Decimalization Implementation Phase-In Plan
Nov 10, 2000 Notice to Members 00-81
Fixed Income Pricing System Additions, Deletions, and Changes as of October 23, 2000
Nov 10, 2000 Notice to Members 00-82
Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
Dec 11, 2000 Notice to Members 00-83
NASD Regulation to Make Statutory Disqualification Decisions Publicly Available in Redacted Format
Dec 11, 2000 Notice to Members 00-84
NASD Regulation Requests Comment on a Proposed Amendment to NASD Rule 2320(g) to Exclude Certain Transactions in Foreign Securities
Comment Period Expired January 11, 2001
Dec 11, 2000 Notice to Members 00-85
NASD to Deduct Delinquent Corporate Financing Filing Fees from CRD Account
Dec 11, 2000 Notice to Members 00-86
Review of Decimalization Testing

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