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 97-77 | NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice
|
|
| Notice to Members 97-76 | Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities
|
|
| Notice to Members 97-75 | Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
|
|
| For Your Information - October 1997 | For Your Information
|
|
| Notice to Members FYI October 1997 | For Your Information
|
|
| Notice to Members 97-74 | SEC Approves Amendments To Legal Definition Of Short Sale
|
|
| Notice to Members 97-73 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997
|
|
| Notice to Members 97-72 | Veteran's Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
|
|
| Notice to Members 97-71 | NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
|
|
| Notice to Members 97-70 | Broker/Dealer And Agent Renewals For 1998
|
|
| Notice to Members 97-69 | No Notice has been designated as 97-69
|
|
| Notice to Members 97-68 | SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720
|
|
| Notice to Members 97-67 | NASD Regulation Institutes Firm Quote Compliance
|
|
| For Your Information - September 1997 | For Your Information
|
|
| Notice to Members FYI September 1997 | For Your Information
|
|
| Notice to Members 97-66 | Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
|
|
| 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
|
|
| Notice to Members 97-64 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 22, 1997
|
|
| Notice to Members 97-63 | Columbus Day: Trade Date — Settlement Date Schedule
|
|
| Notice to Members 97-62 | SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities
Refinement Of SEC Fee Rate Algorithm
|
|
| Notice to Members 97-61 | SOES Tier Size Levels Set To Change October 1, 1997
|
|
| Notice to Members 97-60 | SEC Approves New Procedures For Granting Exemptions To NASD Rules
|
|
| Notice to Members 97-59 | NASD Regulation Requests Comment On Injunctive Relief And Expedited Proceedings
|
|
| Notice to Members 97-58 | NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity
|
|
| Notice to Members 97-57 | NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
|
|
| Notice to Members 97-56 | Intermarket Surveillance Group Issues New Automated Reporting Requirements
|
|
| For Your Information - August 1997 | For Your Information
|
|
| Notice to Members FYI August 1997 | For Your Information
|
|
| Notice to Members 97-55 | New Membership Application Rules, New Code Of Procedure, And Other New Disciplinary Rules
|
|
| Notice to Members 97-54 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 25, 1997
|
|
| Notice to Members 97-53 | Labor Day: Trade Date — Settlement Date Schedule
|
|
| 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
|
|
| Notice to Members 97-51 | NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
|
|
| Notice to Members 97-50 | NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
|
|
| Notice to Members 97-49 | Compliance With SEC Order Handling Rules And Nasdaq Trading Rules
|
|
| Notice to Members 97-48 | NASD Regulation Requests Comment On Amendments To Rules Governing Sale And Distribution Of Investment Company Shares And Variable Insurance Products
|
|
| Notice to Members 97-47 | NASD Regulation Requests Comment On Presentation Of Related Performance Information
|
|
| Notice to Members 97-46 | SEC Approves Rule Prohibiting Payments For Market Making
|
|
| Notice to Members 97-45 | Corrected List of SOES Tier Size Levels
|
|
| Notice to Members 97-44 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 20, 1997
|