Notices

FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pub Title Description
Oct 1, 1997 Notice to Members 97-72
Veterans Day And Thanksgiving Day: Trade Date Settlement Date Schedule
Oct 1, 1997 Notice to Members 97-71
NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
Oct 1, 1997 Notice to Members 97-70
Broker-Dealer And Agent Renewals For 1998
Oct 1, 1997 Notice to Members 97-69
No Notice has been designated as 97-69
Oct 1, 1997 Notice to Members 97-68
SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720; Effective September 4, 1997
Oct 1, 1997 Notice to Members 97-67
NASD Regulation Institutes Firm Quote Compliance
Sep 1, 1997 Notice to Members FYI September 1997
For Your Information
Sep 1, 1997 Notice to Members 97-66
Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
Sep 1, 1997 Notice to Members 97-65
Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages
Sep 1, 1997 Notice to Members 97-64
Fixed Income Pricing System Additions, Changes, and Deletions as of August 22, 1997
Sep 1, 1997 Notice to Members 97-63
Columbus Day: Trade Date Settlement Date Schedule
Sep 1, 1997 Notice to Members 97-62
SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement of SEC Fee Rate Algorithm
Sep 1, 1997 Notice to Members 97-61
SOES Tier Size Levels Set to Change October 1, 1997
Sep 1, 1997 Notice to Members 97-60
SEC Approves New Procedures for Granting Exemptions to NASD Rules
Sep 1, 1997 Notice to Members 97-59
NASD Regulation Requests Comment on Injunctive Relief and Expedited Proceedings
Comment Period Expired October 31, 1997
Sep 1, 1997 Notice to Members 97-58
NASD Regulation Requests Comment on Proposed Interpretive Material 1031 Regarding Cold Calling Activity
Comment Period Expired October 31, 1997
Sep 1, 1997 Notice to Members 97-57
NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
Sep 1, 1997 Notice to Members 97-56
Intermarket Surveillance Group Issues New Automated Reporting Requirements
Aug 1, 1997 Notice to Members FYI August 1997
For Your Information
Aug 1, 1997 Notice to Members 97-55
New Membership Application Rules, New Code of Procedure, and Other New Disciplinary Rules
Aug 1, 1997 Notice to Members 97-54
Fixed Income Pricing System Additions, Changes, and Deletions as of July 25, 1997
Aug 1, 1997 Notice to Members 97-53
Labor Day: Trade Date Settlement Date Schedule
Aug 1, 1997 Notice to Members 97-52
SEC Approves Amendments Relating to Market Maker Registration and Primary Market Maker Eligibility by Managers And Co-Managers of Secondary Offerings
Aug 1, 1997 Notice to Members 97-51
NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
Aug 1, 1997 Notice to Members 97-50
NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
Comment Period Expired October 15, 1997

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