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Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Notice To Members 89-60
Labor Day Trade Date-Settlement Date Schedule
Notice To Members 89-59
Report on Group of Thirty Recommendations Regarding Clearance and Settlement and Request for Comments
Notice To Members 89-58
Amendment Re: Predispute Arbitration Clauses in Customer Agreements
Notice To Members 89-57
SEC Approval of By-Law and Rule of Fair Practice Amendments on Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees — Effective September 1, 1989
Notice To Members 89-56
Proposed Amendments To Nasd Uniform Practice Code Re: Mandatory Buy-In for Short Sales; Last Date for Comments: September 1, 1989
Last Date for Comments: September 1, 1989
Notice To Members 89-55
Proposed Amendments to the NASD Uniform Practice Code Re: Clearly Erroneous Trades; and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances; Last Date for Comments: September 1, 1989
and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances; Last Date for Comments: September 1, 1989
Notice To Members 89-54
Correction to Notice to Members 89-48 — All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective August 1, 1989
For Your Information - July 1989
For Your Information (July)
Notice To Members 89-53
NASDAQ National Market Additions, Changes, and Deletions as of June 14, 1989
Notice To Members 89-52
SEC Approval of Amendment to Schedule C of By-Laws to Establish Waiting Periods Between Attempts to Pass Qualification Examinations — Effective July 17, 1989
Notice To Members 89-51
Proposed Amendments to Article III, Section 26, of the NASD Rules of Fair Practice Re: Cash and Noncash Concessions in Connection with the Retail Sale of Investment-Company Securities — Last Date for Comments: August 4, 1989
Notice To Members 89-50
NASD Initiates Computerized Extension Request Service for Regulation T And SEC Rule 15c3-3; New Form Required
New Form Required
Notice To Members 89-49
SEC Approval of Amendment to Schedule C of NASD By-Laws to Require Members To Submit Applications for and Maintain the Registration of Only Such Persons Who Intend to Engage or Are Engaged in the Investment Banking or Securities Business For the Member
Notice To Members 89-48
All Non-NASDAQ OTC Securities Are Subject To Price And Volume Reporting Effective September 1, 1989
Notice To Members 89-47
Notice to Membership of Disciplinary Actions; Publication of Sanctions; Availability of NASD Manual; Last Voting Date: August 11, 1989
Publication of Sanctions; Availability of NASD Manual; Last Voting Date: August 11, 1989
For Your Information - June 1989
For Your Information (June)
Notice To Members 89-46
NASDAQ National Market System Additions, Changes, and Deletions As of May 15, 1989
Notice To Members 89-45
Independence Day Trade Date-Settlement Date Schedule
Notice To Members 89-44
Amendment to Uniform Practice Code Re: Mandatory Buy-Ins for Cash or Guaranteed Delivery, Effective June 1, 1989
For Your Information - May 1989
For Your Information (May)
Notice To Members 89-43
NASDAQ National Market System Additions, Changes, and Deletions As of April 13, 1989
Notice To Members 89-42
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 89-41
SEC Approval of By-Laws Amendment on Filling Vacancies on District Committees — Effective March 8, 1989
Notice To Members 89-40
Proposed Amendment to Code of Procedure Re: Summary Remedial Proceedings; Last Date for Comments: June 1, 1989
Last Date for Comments: June 1, 1989
Notice To Members 89-39
Proposed New Rule Re: Handling Customer Limit Orders Last Voting Date: June 1, 1989
For Your Information - April 1989
For Your Information (April)
Notice To Members 89-38
Quarterly Check List of NASD Notices to Members
Notice To Members 89-37
NASDAQ National Market System Additions, Changes, and Deletions As Of March 13, 1989
Notice To Members 89-36
SIPC Trustee Appointed for Investors Center, Inc.
Notice To Members 89-35
Misuse of "No Load" Terminology in the Offer of Mutual Funds That Have Contingent Deferred Sales Loads
Notice To Members 89-34
Guidelines For Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures
Notice To Members 89-33
Proposed Amendments to Article III, NASD Code of Procedure Re: Board of Governors' Reviews of Disciplinary Actions; Last Date for Comments: May 1, 1989
Last Date for Comments: May 1, 1989
For Your Information - March 1989
For Your Information (March)
Notice To Members 89-32
Temporary Receiver Appointed for Investors Center, Inc.
Notice To Members 89-31
NASDAQ National Market System Additions, Changes, and Deletions as of February 10, 1989
Notice To Members 89-30
Good Friday Trade Date-Settlement Date Schedule
Notice To Members 89-29
SOES Tier Levels to Change for 575 Issues on March 17, 1989
Notice To Members 89-28
Approval and Immediate Effectiveness of Amendment to Definition of ";Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Notice To Members 89-27
Treasury Finalizes Two Amendments Re: Currency Transactions; Reissues Current Currency Transaction Report Form
Reissues Current Currency Transaction Report Form
Notice To Members 89-26
Securities and Exchange Commission's Proposed Rule 15c2-6 Re: Sales Practices in Pink Sheet Stocks
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