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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 88-90
Proposed Rule Amendment, By-Laws Amendments Under Schedule C Re: Training, Qualification, and Registration of Representatives and Principals; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
Notice To Members 88-82
Veteran's Day and Thanksgiving Day Trade Date-Settlement Date Schedules
Notice To Members 88-87
Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Date for Comment: December 1, 1988
Last Date for Comment: December 1, 1988
Notice To Members 88-92
Proposed Corporate Financing Rule; Last Date for Comment: December 31, 1988
Last Date for Comment: December 31, 1988
Notice To Members 88-84
SEC Approval of Amendments to NASD Rules of Fair Practice and Conforming Amendments to the By-Laws Re: Supervisory Practices and Definitions of Branch Office and Office of Supervisory Jurisdiction
Notice To Members 88-89
Amendment to Schedule E of the NASD By-Laws Re: Definition of Qualified Independent Underwriter - Effective December 1, 1988
Notice To Members 88-81a
Broker-Dealer and Agent Renewals for 1988-89; Status of CRD Phase II Implementation
Status of CRD Phase II Implementation
Notice To Members 88-94
NASDAQ National Market System Additions as of October 18, 1988
Notice To Members 88-86
Approval and Immediate Effectiveness of Article III, Section 43 of the NASD Rules of Fair Practice Regarding Outside Business Activities
Notice To Members 88-76
Test Center Location for Houston Series 7 Exam in October
Notice To Members 88-81
NASD Raises Corporate Filing Fee
Notice To Members 88-73
Amendment to NASD UPC That Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicates
Notice To Members 88-78
Telephone Number Change for NASD's Rockville, Maryland Office Effective October 14, 1988
Notice To Members 88-75
Amendment Eliminating the Fine Limitation in Disciplinary Proceedings
Notice To Members 88-80
Third-Quarter Check List of NASD Notices to Members
Notice To Members 88-77
SIPC Trustee Appointed: Fairweather (George R.) Securities, Inc. 75 Montgomery Street, Jersey City, New Jersey
Notice To Members 88-74
Amendment to Code of Procedure Re: Composition of Panels for DBCC and Market Surveillance Hearings
Notice To Members 88-79
NASDAQ National Market System Additions, Changes, and Deletions as of September 16, 1988
Notice To Members 88-68
Proposed Amendment Re Providing Terminated Employee with Form U-5 and Obtaining Prior Form U-5 for Potential Employees; Comment by October 1, 1988
Comment by October 1, 1988
Notice To Members 88-65
Proposed Amendment: Use and Disclosure of Member Names; Last Date for Comment: October 3, 1988
Last Date for Comment: October 3, 1988
Notice To Members 88-70
Columbus Day Trade Date-Settlement Date Schedule
Notice To Members 88-62
SEC Adopts Rule 10b-21 Prohibiting Shorting into Secondaries
Notice To Members 88-67
Obligation to Provide Accurate Information on Forms U-4 and U-5 and to Research Potential Employee's Background
Notice To Members 88-72
Proposed Amendment to Definition of "Bona Fide Research" - Last Voting Date: November 3, 1988
Notice To Members 88-64
Proposed Amendment Regarding Filing of Advertising and Sales Literature for Investment Company Securities; Deadline for Voting: October 3, 1988
Deadline for Voting: October 3, 1988
Notice To Members 88-69
Documentation for Excused Withdrawal Under Schedule D of By-Laws
Notice To Members 88-66
Test Center Change for Houston Series 7 Exam in September
Notice To Members 88-71
NASDAQ National Market System Additions as of August 19, 1988
Notice To Members 88-63
New Requirements - Effective Immediately - Re Issuing Companies' Notification of NASD Regarding Material News
Notice To Members 88-61
Interpretations - Effective Immediately - of SOES Rules Regarding Compliance With Maximum Order Size Restrictions.
Notice To Members 88-60
Quarterly Check List of NASD Notices to Members
Notice To Members 88-57
NASDAQ National Market System Additions as of July 22, 1988
Notice To Members 88-59
Labor Day Trade Date-Settlement Date Schedule
Notice To Members 88-56
Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD
State Pilot for Broker-Dealer Phase of CRD
Notice To Members 88-58
September First-Saturday Exam Session Changed
Notice To Members 88-55
Correction to Notice to Members 88-55
Notice To Members 88-52
Amendment to Rule: Testimonial Advertisements.
Notice To Members 88-44
Proposed Rule Amendments: Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office" Conforming Amendment To By-Laws-Last Voting Date: August 1, 1988
Notice To Members 88-49
By-Law Amendment: Prohibition of Concurrent Registration Under Schedule C; Last Date for Comment: August 1, 1988
Last Date for Comment: August 1, 1988
Notice To Members 88-54
Implementation of Reporting Requirements for Non-NASDAQ OTC Securities; Effective September 1, 1988
Effective September 1, 1988
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