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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 84-5
Jay W. Kaufmann & Co. Ill Broadway New York, New York
Notice To Members 84-6
Temporary Regulations Under the Interest and Dividend Tax Compliance Act of 1983; Backup Withholding
Backup Withholding
Notice To Members 84-7
SEC Staff Interpretations of Rule 15c2-4
Notice To Members 84-10
Holiday Settlement Schedule — February, 1984
Notice To Members 84-9
California Municipal Investors, Inc. 6380 Wilshire Boulevard, Ste. 1600 Los Angeles, California 90048
Notice To Members 84-11
Gattini & Co. 74 Trinity Place New York, New York
Notice To Members 84-8
Southeast Securities of Florida Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
Notice To Members 84-12
Quarterly Checklist of Notices to Members
Notice To Members 84-13
PLATO Learning Center Shutdown March 3–11; Extensions of Qualification Examination Expiration Dates
Extensions of Qualification Examination Expiration Dates
Notice To Members 84-14
Southeast Securities of Florida, Inc. Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
Notice To Members 84-15
National Market System Grows to 834 Securities With 50 Additions on March 20
Notice To Members 84-17
Amendment to Association's Rules of Fair Practice
Notice To Members 84-18
Holiday Settlement Schedule
Notice To Members 84-19
MV Securities, Inc. 11 Broadway, 17th Floor New York, New York
Notice To Members 84-20
National Market System Grows to 881 Securities With 50 Additions on April 17
Notice To Members 84-21
Adoption of a New Rule of Fair Practice and Other Amendments Regulating Activities of Members Experiencing Financial or Operational Difficulties
Notice To Members 84-22
10 Securities Mandated to Join NMS on May 8, 1984
Notice To Members 84-23
National Market System Grows to 935 Securities With 50 Additions on May 15
Notice To Members 84-25
Quarterly Checklist of Notices to Members
Notice To Members 84-24
Memorial Day Trade Date — Settlement Date Schedule
Notice To Members 84-26
Request for Comment on Proposed Criteria for NASDAQ NMS Designation
Notice To Members 84-27
SEC Request For Comments on NASDAQ Options Proposal (Comment Period Ends on June 15, 1984)
Notice To Members 84-28
Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs
Notice To Members 84-29
48 Securities Mandated to Join NMS on June 19, 1984
Notice To Members 84-30
Monthly Statistical Report Subscription Service
Notice To Members 84-31
First Interwest Securities Corp. 7800 E. Union Avenue, Suite 900 Denver, Colorado 80237
Notice To Members 84-32
June S. Jones Co. 225 S. W. Broadway Portland, Oregon
Notice To Members 84-33
Independence Day Trade Date — Settlement Date Schedule
Notice To Members 84-34
Implementation of the NASAA/CRD Temporary Agent Transfer Program (TAT) Via the Central Registration Depository — Need to File Broker-Dealer Undertaking
Notice To Members 84-35
NMS Securities to Surpass 1,000 Mark on July 10, 1984
Notice To Members 84-38
Five Securities Mandated to Join NMS August 7, 1984
Notice To Members 84-37
Interpretation of Venture Capital Restrictions
Notice To Members 84-36
Request for Comments on Possible Amendments to Venture Capital Restrictions
Notice To Members 84-39
Quarterly Checklist of Notices to Members
Notice To Members 84-40
Compensation Arrangements with respect to Sale of Mutual Fund Shares
Notice To Members 84-41
40 More Securities to Join NMS on August 14
Notice To Members 84-42
Labor Day: Trade Date — Settlement Date Schedule
Notice To Members 84-43
NASDAQ Market Open on Election Day, November 6, 1984
Notice To Members 84-45
Request for Comments on a Proposed New Section to the Uniform Practice Code Concerning Customer Account Transfers
Notice To Members 84-44
Amendments to the Uniform Practice Code Sections 5, 9, 12 and 30
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