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
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
Aug 10, 2001 Notice to Members 01-51
SEC Approves NASD Rule Proposal Requiring Registration of Chief Compliance Officers
Effective Date: January 1, 2002
Aug 10, 2001 Notice to Members 01-52
SEC Approves NASD Rule Proposal Relating to Registration Requirements for Limited Principals-Financial and Operations and Limited Principals-Introducing Broker/Dealer Financial and Operations
Effective Date: September 17, 2001
Aug 10, 2001 Notice to Members 01-53
Procedures Governing the Review and Approval of Subordination Agreements Filed With the NASD
Aug 10, 2001 Notice to Members 01-54
SEC Approves Proposed Additions to the List of Rules Appropriate for Disposition as Minor Violations of Rules and for The Establishment of Late Fees for Certain Filings and Reports
Aug 10, 2001 Notice to Members 01-55
Fixed Income Pricing System Additions, Changes, and Deletions as of June 21, 2001
Aug 10, 2001 Notice to Members 01-56
Notice Of Meeting and Proxy
(Note: Voting is conducted by NASD member Executive Representatives only through specific voting instructions and proxy cards distributed by mail with print version of this Notice.)

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