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
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
Nov 10, 2000 Notice to Members 00-82
Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
Dec 11, 2000 Notice to Members 00-83
NASD Regulation to Make Statutory Disqualification Decisions Publicly Available in Redacted Format
Dec 11, 2000 Notice to Members 00-85
NASD to Deduct Delinquent Corporate Financing Filing Fees from CRD Account
Dec 11, 2000 Notice to Members 00-86
Review of Decimalization Testing
Dec 11, 2000 Notice to Members 00-87
Fixed Income Pricing System Additions, Changes, and Deletions as of November 22, 2000
Dec 11, 2000 Notice to Members 00-88
Trade Date - Settlement Date Schedule for 2001
Dec 11, 2000 Notice to Members 00-89
NASD 2001 Holiday Schedule
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
Jan 10, 2001 Notice to Members 01-02
2001 Renewal Rosters and Final Renewal Statements
Jan 10, 2001 Notice to Members 01-03
SEC Approves Early Expiration of Large and Complex Cases Rule
Effective Date: December 31, 2000
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)
Jan 10, 2001 Notice to Members 01-05
Nasdaq Announces Additional Decimalization Testing Dates
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
Jan 10, 2001 Notice to Members 01-07
Important Reminders About Web CRD Notification of Regulatory Element Continuing Education Requirements and Inactive Registered Persons

Pages