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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 86-46
Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials"
Notice To Members 86-47
Cusack, Light & Company, Inc. 101 Old Short Hills Road West Orange, New Jersey 07052
Notice To Members 86-48
NASDAQ National Market System Grows to 2,457 Securities With 33 Voluntary Additions on July 15, 1986
Notice To Members 86-49
Request for Comments on Proposed Amendment to Schedule G of the NASD By-Laws
Notice To Members 86-50
Accurate Completion of Form U-4 (Uniform Application for Securities Industry Registration)
Notice To Members 86-51
Automation of Test Administration for the Financial and Operations Principal Examination
Notice To Members 86-52
NASDAQ National Market System Grows to 2,507 Securities With 52 Voluntary Additions on August 5, 1986, and 2 Mandatory Inclusions on August 12, 1986
Notice To Members 86-54
Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
Notice To Members 86-53
Quarterly Checklist of Notices to Members
Notice To Members 86-55
Request for Comments on Proposed Revisions to Schedule D of the NASD By-Laws
Notice To Members 86-56
NASDAQ National Market System Grows to 2,517 Securities With 17 Voluntary Additions on August 19, 1986
Notice To Members 86-57
Labor Day: Trade Date-Settlement Date Schedule
Notice To Members 86-58
NASDAQ National Market System Grows to 2,550 Securities With 27 Voluntary Additions on September 2, 1986
Notice To Members 86-59
Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 59, Close-Out Procedure; Buying-in
Buying-in
Notice To Members 86-60
Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 64, Acceptance and Settlement of COD Orders
Notice To Members 86-61
Proposed New Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions
Notice To Members 86-62
NASDAQ National Market System Grows to 2,569 Securities With 27 Voluntary Additions on September 16, 1986
Notice To Members 86-63
NASD Operations Center Opens in Roekville, Maryland; New Addresses and Telephone Numbers
New Addresses and Telephone Numbers
Notice To Members 86-64
Columbus Day: Trade Date-Settlement Date Schedule
Notice To Members 86-65
Compliance with the NASD Rules of Fair Practice in the Employment and Supervision of Off-Site Personnel
Notice To Members 86-66
Due Diligence Expense Reimbursements in Connection with Direct Participation Programs
Notice To Members 86-67
NASDAQ National Market System Grows to 2,580 Securities With 23 Voluntary Additions on October 7, 1986
Notice To Members 86-68
Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Direct Participation Programs
Notice To Members 86-69
Amendments to NASD Rules on Short Sales Become Effective October 15, 1986
Notice To Members 86-70
NASDAQ National Market System Grows to 2,602 Securities With 12 Voluntary Additions on October 21, 1986
Notice To Members 86-72
Norbay Securities, Inc. 36-35 Bell Boulevard Bayside, New York 11361
Notice To Members 86-71
Holiday Settlement Schedule - November 1986
Notice To Members 86-73
Effectiveness of Exemption from NASD Board of Governors' Free-Riding Interpretation for Conversions of Savings and Loan Associations and Certain Other Organizations
Notice To Members 86-75
NASDAQ National Market System Grows to 2,638 Securities With 25 Voluntary Additions on November 4, 1986, and Eight Mandatory Inclusions on November 11, 1986
Notice To Members 86-74
Proposed Amendments to Article III, Section 19(f) and Section 33(d) of the NASD Rules of Fair Practice and Article X, Section 6 of the NASD By-Laws
Notice To Members 86-77
John Franklin & Associates 1975 Hempstead Turnpike East Meadow, New York 11554
Notice To Members 86-76
South African Sanctions Act
Notice To Members 86-78
NASDAQ National Market System Grows to 2,658 Securities With 21 Voluntary Additions on November 18, 1986
Notice To Members 86-79
Quarterly Checklist of Notices to Members
Notice To Members 86-80
Proposed Changes to the Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Notice To Members 86-82
1987 Schedule of Holidays
Notice To Members 86-81
Amendments to Appendix F Regarding Freely Tradable Partnership Units Effective Immediately
Notice To Members 86-84
NASDAQ National Market System Grows to 2,687 Securities With 30 Voluntary Additions on December 2, 1986
Notice To Members 86-83
Proposed New NASD Rule of Fair Practice Prohibiting Members From Effecting Securities Transactions During Trading Halts
Notice To Members 86-85
Request for Comments on Proposed Amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws
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