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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 87-78
1988 Schedule of Holidays
Notice To Members 87-79
Request for Comments on Proposed New NASD By-Law Authorizing Mandatory Reporting of Trade Comparison Information
Notice To Members 87-82
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 87-81
NASDAQ National Market System Totals 3,066 Securities With 5 Additions on December 15, 1987
Notice To Members 87-83
Member Comment on NASD Proposals
Notice To Members 87-84
Annual State, Agent, and Broker-Dealer Renewals for 1988
Notice To Members 87-85
SEC Approves Revised Rules for Reporting NASDAQ/NMS Trades Executed Between 4 p.m. and 5 p.m. Under Schedule D to the NASD By-Laws
Notice To Members 87-87
Request for Comments on Proposed Amendments to Schedule E to the NASD By-Laws Regarding the Definition of a Qualified Independent Underwriter
Notice To Members 87-86
NASDAQ National Market System Totals 3,052 Securities With Four Additions on January 5, 1988
Notice To Members 87-88
Request for Comments on Proposed Amendments to Section 66 of the NASD Uniform Practice Code Regarding Syndicate Expense Statements and Prompt Settlement of Commissions
Notice To Members 87-80
NASDAQ National Market System Totals 3,068 Securities With 2 Additions on December 1, 1987
Notice To Members 88-1
Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules
Notice To Members 88-2
Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule
Notice To Members 88-3
Amendment to Section 64 of the NASD Uniform Practice Code Regarding Acceptance and Settlement of COD Orders, Effective February 11, 1988
Notice To Members 88-5
Request for Comments on Proposed NASD Rule of Fair Practice Regarding Outside Business Activities
Notice To Members 88-4
NASDAQ National Market System Totals 3,040 Securities With Four Additions on January 19, 1988
Notice To Members 88-7
Year-End Check List of NASD Notices to Members
Notice To Members 88-6
SEC Approves NASD New Order Confirmation Transaction (OCT) Service
Notice To Members 88-8
Request for Comments on Proposed New Section 3 to Article VII and an Amendment to Article XI, Section 4 of the NASD By-Laws
Notice To Members 88-9
NASDAQ National Market System Totals 3,040 Securities With Six Additions on February 2, 1988
Notice To Members 88-10
Relocation of NASD New York Offices
Notice To Members 88-12
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 88-11
Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
Notice To Members 88-13
NASDAQ National Market System Totals 3,030 Securities With Nine Additions on February 16, 1988
Notice To Members 88-14
Additional Arbitration Filing Fee and Advertising Service Charge
Notice To Members 88-15
Amendment to Schedule A to the NASD By-Laws Concerning an Increased Application Fee for Member Firms With Statutorily Disqualified Individuals
Notice To Members 88-16
NASDAQ National Market System Totals 3,004 Securities With Six Additions on March 1, 1988
Notice To Members 88-17
Request for Comments on Proposed Amendments to NASD Rules of Fair Practice to Prohibit Non-Cash Compensation in Connection with Sales of Investment Company and Variable Contract Products
Notice To Members 88-18
Extension of Comment Period: Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
Notice To Members 88-19
Proposed Amendment to Article VII of the NASD By-Laws Authorizing Mandatory Reporting of Trade Information
Notice To Members 88-22
NASDAQ National Market System Totals 2,996 Securities With 11 Additions on March 15, 1988
Notice To Members 88-21
Good Friday; Trade Date-Settlement Date Schedule
Trade Date-Settlement Date Schedule
Notice To Members 88-20
Request for Comments on Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Investment Company Securities
Notice To Members 88-23
Windsor Equity Corporation 330 S. Executive Drive Brookfield, Wisconsin 53005
Notice To Members 88-25
NASDAQ National Market System Totals 2,994 Securities With 13 Additions on April 5, 1988
Notice To Members 88-26
Request for Comments on Proposed Amendments to Appendix A to Article III, Section 30 of the NASD Rules of Fair Practice
Notice To Members 88-27
NASDAQ National Market System Totals 2,994 Securities With 11 Additions on April 19, 1988
Notice To Members 88-28
Quarterly Check List of NASD Notices to Members
Notice To Members 88-30
NASDAQ National Market System Totals 2,976 Securities With Two Additions on May 3, 1988
Notice To Members 88-29
Proposed New Section 3 to Article VII and Amendment to Article XI, Section 4 of the NASD By-Laws Concerning Emergency Authority of the NASD Board of Governors
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