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
Mar 27, 2001 Notice to Members 01-26
SEC Approves Proposed Rule Change Relating to Day-Trading Margin Requirements
Apr 10, 2001 Notice to Members 01-27
NASD Revises Sanction Guidelines
Apr 10, 2001 Notice to Members 01-28
Fixed Income Pricing System Additions, Changes, and Deletions as of February 22, 2001
May 10, 2001 Notice to Members 01-29
SEC Approves Amendments to Prohibit Terminated or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers in the NASD Arbitration Forum
Effective Date: June 11, 2001
May 10, 2001 Notice to Members 01-30
Member Obligations to Provide Statistical Information About Order Routing Under Rule 11Ac1-6 of the Securities Exchange Act of 1934
May 4, 2001 Notice to Members 01-31
SEC Approves NASD Rule Proposal Requiring Delivery Of Margin Disclosure Statement To Non-Institutional Customers
May 10, 2001 Notice to Members 01-32
Series 24, 26, and 62 Modified
May 10, 2001 Notice to Members 01-33
Fixed Income Pricing System Additions, Changes, and Deletions as of March 22, 2001
May 10, 2001 Notice to Members 01-34
Memorial Day: Trade Date-Settlement Date Schedule
May 18, 2001 Notice to Members 01-35
NASD Regulation Requests Comment on Steps that can be taken to Streamline NASD Rules
Comment Period Expired July 31, 2001
May 22, 2001 Notice to Members 01-36
NASD Regulation Requests Comment on Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer of Customer Accounts
Comment Period Expired July 6, 2001
May 29, 2001 Notice to Members 01-37
NASD Regulation Extends Deadline for Delivery of Margin Disclosure Statement to Existing Non-Institutional Customers to
January 31, 2002
Jun 11, 2001 Notice to Members 01-38
NASD Requests Comment on Proposed Amendments to the Taping Rule
Comment Period Expired July 25, 2001
Jun 11, 2001 Notice to Members 01-39
SEC Approves Proposed Rule Change Establishing a New Limited Registration Category for Private Securities Offerings; Related Qualification Examination (Series 82) is Effective
Jun 11, 2001 Notice to Members 01-40
Fixed Income Pricing System Additions, Changes, and Deletions as of April 23, 2001
Jun 11, 2001 Notice to Members 01-41
SEC Approves PORTAL Rule Amendments
Jun 15, 2001 Notice to Members 01-42
Nominees for NASD Board of Governors
Jun 18, 2001 Notice to Members 01-43
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Jun 29, 2001 Notice to Members 01-44
SEC Issues Interpretive Guidance Concerning Exchange Act Rules 11Ac1-5 And 11Ac1-6
Jul 2, 2001 Notice to Members 01-45
NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public
Comment Period Expired August 15, 2001
Jul 2, 2001 Notice to Members 01-46
SEC Approves Extension Of Limit Order Protection Principles To Certain OTCBB Securities On A Pilot Basis
Jul 10, 2001 Notice to Members 01-47
SEC Approves Rule Change Prohibiting Publication of Quotations or Indications of Interest in a Security During a Trading Halt
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems.
Jul 10, 2001 Notice to Members 01-48
Fixed Income Pricing System Additions, Changes, and Deletions as of May 21, 2001
Jul 10, 2001 Notice to Members 01-49
Labor Day: Trade Date-Settlement Date Schedule
Aug 10, 2001 Notice to Members 01-50
Amendment to the Policy for Granting Foreign Deferrals of the Regulatory Element

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