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, 2000 Notice to Members 00-28
SEC Approves Use of Hard to Borrow List to Comply with the Affirmative Determination Requirement for Short Sales (Rule 3370)
May 10, 2000 Notice to Members 00-29
SEC Approves Changes to Nasdaq Locked/Crossed Markets Rule
Effective Date: June 5, 2000
May 10, 2000 Notice to Members 00-30
SEC Approves New Systems and Rules Governing Delivery, Negotiation, and Execution of Orders for Nasdaq National Market Securities
Effective Date: July 10, 2000
May 10, 2000 Notice to Members 00-31
Fixed Income Pricing System Additions, Changes, and Deletions as of March 23, 2000
May 10, 2000 Notice to Members 00-32
SEC Suspends Decimalization Deadline and Requests Comment on Extended Deadline
May 10, 2000 Notice to Members 00-33
NASD Regulation Adopts New Rule Interpretation to Require Confirmation Disclosure of Callable Common Stock
Jun 5, 2000 Notice to Members 00-34
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Jun 12, 2000 Notice to Members 00-35
NASD Regulation Reminds Firms of CRD Continuing Education Notification Method and Informs Firms to Review Written Supervisory Procedures
Jun 12, 2000 Notice to Members 00-36
SEC Approves Rule Change to Permit Publication of All Final Litigated Decisions Issued by the Office Of Hearing Officers, the National Adjudicatory Council, and the NASD Board
Effective Date: July 10, 2000
Jun 12, 2000 Notice to Members 00-37
NAC Issues Decision on MSRB Rule G-37 Exemptive Relief
Jun 12, 2000 Notice to Members 00-38
Nasdaq Releases Its Latest Decimalization Testing Schedule
Jun 12, 2000 Notice to Members 00-39
Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 2000
Jun 12, 2000 Notice to Members 00-40
Independence Day: Trade Date - Settlement Date Schedule
Jun 12, 2000 Notice to Members 00-41
SEC Approves Trade Halt Rule for OTCBB; Effective Date: June 26, 2000
Jun 14, 2000 Notice to Members 00-42
NASD Regulation, Inc. Reiterates the Obligation of Member Firms to Comply with Trading Rules, Particularly Immediately Prior to the Close on Expiration Fridays and Index Rebalancing Days
Jun 15, 2000 Notice to Members 00-43
SEC Approves Changes to Transaction Reporting Procedures for Weighted Average and Special Pricing Formula Trades
Effective Date: July 17, 2000
Jun 16, 2000 Notice to Members 00-44
NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
Jul 5, 2000 Notice to Members 00-45
NASD Announces Changes to SEC Rule 15c3-3 Extension Request Reason Codes
Effective Date: July 10, 2000
Correction - On page 1, the second paragraph under subhead Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, the entry of either Issue Symbol or CUSIP will be required.
Jul 10, 2000 Notice to Members 00-46
NASD Announces Interpretation of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
Jul 10, 2000 Notice to Members 00-47
Fixed Income Pricing System Additions, Changes, and Deletions as of June 23, 2000
Jul 10, 2000 Notice to Members 00-48
NASD Adopts Rule Requiring Member Participation in Decimalization Testing; NASD Reminds Selected Members of Survey Deadline: July 28, 2000
Jul 10, 2000 Notice to Members 00-49
SEC Issues Staff Interpretation on the "Free Trading" Status of Blank Check Company Securities Under Certain Scenarios
Jul 24, 2000 Notice to Members 00-50
Withdrawal of Proposed Rule and Reminder of Restrictions on Use of Unregistered Persons
Jul 27, 2000 Notice to Members 00-51
SEC Approves Proposed Rule Change Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control and Restricted Securities, and Options Transactions
Effective Date: August 21, 2000
Aug 7, 2000 Notice to Members 00-52
NASD and Exchanges Submit Decimalization Plan to the SEC

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