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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 89-4
Proposed Mandatory Participation by Clearing Members in Reconfirmation and Pricing Services (RECAPS); Last Date for Comment: February 3, 1989
Last Date for Comment: February 3, 1989
Notice To Members 89-9
Trade Date-Settlement Date Schedule for 1989
Notice To Members 89-1
Proposed By-Laws Amendment on Filling Vacancies on District Committees; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
Notice To Members 89-6
State Participation in CRD Form BD and BDW Processing
Notice To Members 89-3
Proposed Rule to Restrict Payment of Referral Fees by NASD Members; Last Date for Comments: February 3, 1989
Last Date for Comments: February 3, 1989
Notice To Members 89-8
NASD 1989 Holiday Schedule
Notice To Members 89-13
Access to Disciplinary Information on Prospective Employees
Notice To Members 89-18
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 89-15
Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations — Effective December 20, 1988
Notice To Members 89-12
Reporting Suspicious Currency and Other Questionable Transactions To the IRS/Customs Hotline
Notice To Members 89-17
Adoption of Rule Amendments Mandating the Automated Submission Of Trading Data Technical Specifications
Notice To Members 89-14
SEC Approves Amendments to Rule 17f-1, Lost and Stolen Securities Program
For Your Information - February 1989
For Your Information (February)
Notice To Members 89-19
NASDAQ National Market System Additions, Changes, and Deletions as of January 12, 1989
Notice To Members 89-11
SEC Approval of Rule Amendment Requiring Filing of Advertising and Sales Literature for Investment Company Securities — Effective March 1, 1989
Notice To Members 89-16
Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs — Effective February 1, 1989
Notice To Members 89-20
Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989
Notice To Members 89-29
SOES Tier Levels to Change for 575 Issues on March 17, 1989
Notice To Members 89-21
Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Voting Date: April 3, 1989
Last Voting Date: April 3, 1989
Notice To Members 89-26
Securities and Exchange Commission's Proposed Rule 15c2-6 Re: Sales Practices in Pink Sheet Stocks
Notice To Members 89-31
NASDAQ National Market System Additions, Changes, and Deletions as of February 10, 1989
Notice To Members 89-23
Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees Deadline for Voting: April 3, 1989
For Your Information - March 1989
For Your Information (March)
Notice To Members 89-28
Approval and Immediate Effectiveness of Amendment to Definition of ";Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Notice To Members 89-25
SIPC Reimposes Assessments Based on a Percentage of Gross Revenue
Notice To Members 89-30
Good Friday Trade Date-Settlement Date Schedule
Notice To Members 89-22
Proposed Amendment Re: Use and Disclosure of Member Names Last Voting Date: April 3, 1989
Notice To Members 89-27
Treasury Finalizes Two Amendments Re: Currency Transactions; Reissues Current Currency Transaction Report Form
Reissues Current Currency Transaction Report Form
Notice To Members 89-32
Temporary Receiver Appointed for Investors Center, Inc.
Notice To Members 89-24
Proposed Amendment to Schedule C to the NASD By-Laws to Amend the Definition of a Direct Participation Program; Last Date for Comments: April 3, 1989
Last Date for Comments: April 3, 1989
For Your Information - April 1989
For Your Information (April)
Notice To Members 89-37
NASDAQ National Market System Additions, Changes, and Deletions As Of March 13, 1989
Notice To Members 89-34
Guidelines For Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures
Notice To Members 89-36
SIPC Trustee Appointed for Investors Center, Inc.
Notice To Members 89-33
Proposed Amendments to Article III, NASD Code of Procedure Re: Board of Governors' Reviews of Disciplinary Actions; Last Date for Comments: May 1, 1989
Last Date for Comments: May 1, 1989
Notice To Members 89-38
Quarterly Check List of NASD Notices to Members
Notice To Members 89-35
Misuse of "No Load" Terminology in the Offer of Mutual Funds That Have Contingent Deferred Sales Loads
Notice To Members 89-42
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 89-39
Proposed New Rule Re: Handling Customer Limit Orders Last Voting Date: June 1, 1989
Notice To Members 89-41
SEC Approval of By-Laws Amendment on Filling Vacancies on District Committees — Effective March 8, 1989
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