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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 89-25
SIPC Reimposes Assessments Based on a Percentage of Gross Revenue
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
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
Notice To Members 89-22
Proposed Amendment Re: Use and Disclosure of Member Names Last Voting Date: April 3, 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 89-20
Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989
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 89-18
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 89-17
Adoption of Rule Amendments Mandating the Automated Submission Of Trading Data Technical Specifications
Notice To Members 89-16
Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs — Effective February 1, 1989
Notice To Members 89-15
Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations — Effective December 20, 1988
Notice To Members 89-14
SEC Approves Amendments to Rule 17f-1, Lost and Stolen Securities Program
Notice To Members 89-13
Access to Disciplinary Information on Prospective Employees
Notice To Members 89-12
Reporting Suspicious Currency and Other Questionable Transactions To the IRS/Customs Hotline
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 89-9
Trade Date-Settlement Date Schedule for 1989
Notice To Members 89-8
NASD 1989 Holiday Schedule
Notice To Members 89-7
1989 Renewal Rosters and Final Adjusted Invoices
Notice To Members 89-6
State Participation in CRD Form BD and BDW Processing
Notice To Members 89-5
Insider Trading and Securities Fraud Enforcement Act of 1988
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 89-3
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 89-2
Proposed New Rule Regarding Business Conduct of Members; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
Notice To Members 89-10
NASDAQ National Market System Additions, Changes, and Deletions As of December 13, 1988
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
For Your Information (January)
For Your Information (January)
Notice To Members 88-104
Adoption of Rule Amendments Mandating the Automated Submission of Trading Data - Effective February 12, 1989
Notice To Members 88-103
Adoption of Rule Amendments - Effective Immediately Professional Trading in SOES
Notice To Members 88-99
Trade Date-Settlement Date Schedule: Christmas Day, New Year's Day, and Martin Luther King, Jr. Day
Notice To Members 88-98
Proposed Amendment to Schedule E Re: Exemption From the Pricing Requirements For Shelf Offerings to Institutional Investors
Notice To Members 88-97
Implementation of the Form U-4 Disclosure Reporting Page (DRP) Effective Immediately
Notice To Members 88-96
SEC Approval of Amendments to NASD By-Laws and Rules of Fair Practice And New Government Securities Rules
Notice To Members 88-95
SEC Approval of Amendment to NASD Rules of Fair Practice Re: Prompt Payment for Investment Company Shares — Effective Date: January 1, 1988
Notice To Members 88-102
NASDAQ National Market System Additions as of November 21, 1988
Notice To Members 88-101
Clarification of NASD Filing Requirements and Review Procedures for Offerings Made Pursuant to SEC Rule 415
Notice To Members 88-100
Mergers by Members With Blind-Pool Companies
Notice To Members 88-94
NASDAQ National Market System Additions as of October 18, 1988
Notice To Members 88-93
SEC Approval of Amendment to Free-Riding Interpretation Concerning Sales to Investment Partnerships and Corporations
Notice To Members 88-92
Proposed Corporate Financing Rule; Last Date for Comment: December 31, 1988
Last Date for Comment: December 31, 1988
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