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 11, 2001 Notice to Members 01-17
Web CRD Email Notifications Regarding Regulatory Element Requirements and Notifications of CE Inactive Registered Persons
Mar 11, 2001 Notice to Members 01-18
SEC Approves Rules to Require Fixed Income Transaction Reporting and Dissemination
Effective Date: 180 Days After Publication of TRACE Technical Specifications
Mar 11, 2001 Notice to Members 01-19
SEC Approves Trade Reporting for PORTAL Securities
Effective June 16, 2001 for PORTAL Equity Securities
Mar 11, 2001 Notice to Members 01-20
Nasdaq Announces Decimalization Rule Changes
Mar 11, 2001 Notice to Members 01-21
Fixed Income Pricing System Additions, Changes, and Deletions as of January 22, 2001
Mar 15, 2001 Notice to Members 01-22
NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
Mar 18, 2001 Notice to Members 01-23
Suitability Rule and Online Communications
Mar 20, 2001 Notice to Members 01-24
SEC Approves Proposed Changes to Rule 2330(f)(2) Relating to Performance Fees
Mar 26, 2001 Notice to Members 01-25
SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
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

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