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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 88-52
Amendment to Rule: Testimonial Advertisements.
Notice To Members 88-51
Registration of Foreign Branch Offices by August 1, 1988
Notice To Members 88-50
Registration of Persons Soliciting on Behalf of Members Under Schedule C of the NASD By-Laws.
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 88-48
Proposed By-Laws Amendment Concerning Filling Vacancies on District Committees - Last Date for Comment: August 1, 1988
Notice To Members 88-47
Proposed Amendment: Short Sales-Last Date for Comment: August 1, 1988
Notice To Members 88-46
Adoption of Rule Amendment to Authorize Trading Halts in NASDAQ Securities.
Notice To Members 88-45
Proposed New Rule: Outside Business Activities-Last Voting Date: August 1, 1988
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 88-43
Adoption of Amendments to the Rules of Practice and Procedures for the NASD Small Order Execution System and to Schedule D to the NASD By-Laws, Effective June 30, 1988
Notice To Members 88-42
NASDAQ National Market System Advances to 2,954 Securities With 14 Additions on June 21, 1988
Notice To Members 88-41
Independence Day Trade Date-Settlement Date Schedule
Notice To Members 88-40
Adoption of New Schedule H to the NASD By-Laws and Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice.
Notice To Members 88-39
NASDAQ National Market System Totals 2,950 Securities With 10 Additions on June 7, 1988
Notice To Members 88-38
SEC Approves New Category of Limited Representative Registration — Corporate Securities Examination (Series 62); Study Outline Available
Study Outline Available
Notice To Members 88-37
Operations Officer, Cashier, Fail-Control Department
Notice To Members 88-36
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 88-35
NASDAQ National Market System Totals 2,945 Securities With Seven Additions on May 17, 1988
Notice To Members 88-34
Adoption of New Section 67 of the NASD Uniform Practice Code Regarding Delayed Closings Effective June 12, 1988
Notice To Members 88-33
Adoption of Amendments to Schedule E to the NASD By-Laws Effective Immediately
Notice To Members 88-32
Amendment to the NASD Board of Governors' Corporate Financing Interpretation Regarding Public Offerings When Proceeds Are Directed to NASD Members
Notice To Members 88-31
Proposed Amendments to Article V, Section 1 of the NASD Rules of Fair Practice and Section 12(2) of the Proposed Government Securities Rules: Removal of Fine Limitations
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
Notice To Members 88-28
Quarterly Check List of NASD Notices to Members
Notice To Members 88-27
NASDAQ National Market System Totals 2,994 Securities With 11 Additions on April 19, 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 88-25
NASDAQ National Market System Totals 2,994 Securities With 13 Additions on April 5, 1988
Notice To Members 88-23
Windsor Equity Corporation 330 S. Executive Drive Brookfield, Wisconsin 53005
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 88-22
NASDAQ National Market System Totals 2,996 Securities With 11 Additions on March 15, 1988
Notice To Members 88-19
Proposed Amendment to Article VII of the NASD By-Laws Authorizing Mandatory Reporting of Trade Information
Notice To Members 88-18
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 88-17
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 88-16
NASDAQ National Market System Totals 3,004 Securities With Six Additions on March 1, 1988
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 88-14
Additional Arbitration Filing Fee and Advertising Service Charge
Notice To Members 88-13
NASDAQ National Market System Totals 3,030 Securities With Nine Additions on February 16, 1988
Notice To Members 88-12
Presidents' Day: Trade Date-Settlement Date Schedule
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