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 |
Title |
Description |
|---|---|---|
| Aug 10, 2000 | Notice to Members 00-57 |
Fixed Income Pricing System Additions, Changes, and Deletions as of July 20, 2000
|
| Aug 10, 2000 | Notice to Members 00-58 |
Labor Day: Trade Date -- Settlement Date Schedule
|
| Aug 10, 2000 | Notice to Members 00-59 |
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Nomination Deadline: September 15, 2000
|
| Sep 1, 2000 | Notice to Members 00-60 |
Nominees for District Committees and District Nominating Committees
|
| Sep 11, 2000 | Notice to Members 00-61 |
SEC Approves Day-Trading Rules
Effective Date: October 16, 2000
|
| Sep 5, 2000 | Notice to Members 00-61 |
NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
|
| Sep 11, 2000 | Notice to Members 00-63 |
NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
|
| Sep 11, 2000 | Notice to Members 00-64 |
SEC Approves Rule Changes to Amend Mediation Fee Structure
Effective Date: November 1, 2000
|
| Sep 11, 2000 | Notice to Members 00-65 |
Nasdaq is Establishing the Primex Auction System as a New Facility
|
| Sep 11, 2000 | Notice to Members 00-66 |
NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information; SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
|
| Sep 11, 2000 | Notice to Members 00-67 |
Decimalization Implementation Plan
|
| Sep 11, 2000 | Notice to Members 00-68 |
Fixed Income Pricing System Additions, Changes, and Deletions as of August 21, 2000
|
| Sep 11, 2000 | Notice to Members 00-69 |
Columbus Day: Trade Date - Settlement Date Schedule
|
| Sep 29, 2000 | Notice to Members 00-70 |
Nasdaq Requests Comment on Extending Manning Limit Order Protection Interpretation to Premarket Hours
Comment Period Expired October 31, 2000
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected. |
| Oct 10, 2000 | Notice to Members 00-71 |
NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
|
| Oct 10, 2000 | Notice to Members 00-72 |
Broker/Dealer and Agent Renewals for 2001
Payment Deadline: December 8, 2000
|
| Oct 10, 2000 | Notice to Members 00-73 |
SEC Approves Amendments To NASD Membership Rules
Effective Date: November 15, 2000
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected. |
| Oct 10, 2000 | Notice to Members 00-74 |
NASD Announces Election Results for District Committees and District Nominating Committees
|
| Oct 10, 2000 | Notice to Members 00-75 |
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
|
| Oct 10, 2000 | Notice to Members 00-76 |
Fixed Income Pricing System Additions, Deletions, and Changes as of September 22, 2000
|
| Oct 10, 2000 | Notice to Members 00-77 |
Thanksgiving Day: Trade Date -- Settlement Date Schedule
|
| Oct 24, 2000 | Notice to Members 00-78 |
SEC Approves Proposed Changes to the NASD Three Quote Rule and Related Recordkeeping Requirements
Effective Date: November 24, 2000
|
| Nov 10, 2000 | Notice to Members 00-79 |
Nasdaq Adopts Alternative Approach for Complying With Riskless Principal Trade-Reporting Rules and Issues Net Trading Interpretation; Riskless Principal Trade-Reporting Rules will be Implemented on February 1, 2001
|
| Nov 10, 2000 | Notice to Members 00-80 |
Nasdaq Decimalization Testing & Decimalization Implementation Phase-In Plan
|
| Nov 10, 2000 | Notice to Members 00-81 |
Fixed Income Pricing System Additions, Deletions, and Changes as of October 23, 2000
|