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 |
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Oct 10, 2000 | Notice to Members 00-72 |
Broker/Dealer and Agent Renewals for 2001
Payment Deadline: December 8, 2000
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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
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Oct 10, 2000 | Notice to Members 00-75 |
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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Oct 10, 2000 | Notice to Members 00-76 |
Fixed Income Pricing System Additions, Deletions, and Changes as of September 22, 2000
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Oct 10, 2000 | Notice to Members 00-77 |
Thanksgiving Day: Trade Date -- Settlement Date Schedule
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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
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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
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Nov 10, 2000 | Notice to Members 00-80 |
Nasdaq Decimalization Testing & Decimalization Implementation Phase-In Plan
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Nov 10, 2000 | Notice to Members 00-81 |
Fixed Income Pricing System Additions, Deletions, and Changes as of October 23, 2000
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Nov 10, 2000 | Notice to Members 00-82 |
Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
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Dec 11, 2000 | Notice to Members 00-83 |
NASD Regulation to Make Statutory Disqualification Decisions Publicly Available in Redacted Format
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Dec 11, 2000 | Notice to Members 00-85 |
NASD to Deduct Delinquent Corporate Financing Filing Fees from CRD Account
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Dec 11, 2000 | Notice to Members 00-86 |
Review of Decimalization Testing
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Dec 11, 2000 | Notice to Members 00-87 |
Fixed Income Pricing System Additions, Changes, and Deletions as of November 22, 2000
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Dec 11, 2000 | Notice to Members 00-88 |
Trade Date - Settlement Date Schedule for 2001
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Dec 11, 2000 | Notice to Members 00-89 |
NASD 2001 Holiday Schedule
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Dec 21, 2000 | Notice to Members 00-90 |
Mail Vote - NASD Solicits Vote on Amendments to the NASD By-Laws on Selected Corporate Governance Issues
Last Voting Date: January 22, 2001
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice. |
Jan 10, 2001 | Notice to Members 01-01 |
SEC Approves Proposed Changes to NASD Rule 2860
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Jan 10, 2001 | Notice to Members 01-02 |
2001 Renewal Rosters and Final Renewal Statements
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Jan 10, 2001 | Notice to Members 01-03 |
SEC Approves Early Expiration of Large and Complex Cases Rule
Effective Date: December 31, 2000
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Jan 10, 2001 | Notice to Members 01-04 |
SEC Approves Amendments to Director's Authority to Remove Arbitrators for Cause
Effective Date: February 12, 2001 Superseded by NTM 01-13 (eff. March 8, 2001)
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Jan 10, 2001 | Notice to Members 01-05 |
Nasdaq Announces Additional Decimalization Testing Dates
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Jan 10, 2001 | Notice to Members 01-06 |
NASD Regulation Requests Comment on Member Facilitation of Lending Between Customers
Comment Period Expired February 12, 2001
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Jan 10, 2001 | Notice to Members 01-07 |
Important Reminders About Web CRD Notification of Regulatory Element Continuing Education Requirements and Inactive Registered Persons
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