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 |
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| Notice to Members 96-26 | SEC Approves Schedule C Changes Regarding Use Of The Modified Series 7 To Qualify Canadian Registrants
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| Notice to Members 96-25 | SEC Approves NASD Manual Revisions
Publication Scheduled For May
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| Notice to Members 96-24 | SEC Approves Rule Mandating TIF Immobilization
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| Notice to Members 96-23 | Treasury Issues Updated List Of Specially Designated Nationals And Blocked Persons
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| Notice to Members 96-22 | Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
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| Notice to Members 96-21 | Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1996
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| Notice to Members 96-20 | Good Friday: Trade Date — Settlement Date Schedule
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| Notice to Members 96-19 | Annual Check List of NASD Notices to Members
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| Notice to Members 96-18 | Compliance Desk Will Help Members Report Free-Riding And Withholding Information To NASD
Workshops Scheduled For Late April, Early May
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| Notice to Members 96-17 | SOES Tier Levels Set To Change April 1, 1996
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| Notice to Members 96-16 | NASD Adds Remote Sites to Deliver Training and Exams
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| Notice to Members 96-15 | SEC Approves NASD Proposals to Add Two New Options Position-Limit Tiers and Extend and Expand the NASD's Equity Option Position-Limit Hedge Exemption Pilot Program
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| Notice to Members 96-14 | SEC Approves Amendments To Sections 1(a)(v) And 73 Of NASD Uniform Practice Code Relating To The Use Of Standardized Limited Partnership Transfer Forms
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| For Your Information - February 1996 | Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
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| Notice to Members 96-13 | Fixed Income Pricing System Additions, Changes, and Deletions as of January 30, 1996
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| Notice to Members 96-12 | Nasdaq National Market Additions, Changes, and Deletions as of January 19, 1996
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| Notice to Members 96-11 | Presidents' Day: Trade Date — Settlement Date Schedule
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| Notice to Members 96-10 | Expanded Limit-Order Protection Rule Gets Further Clarification By NASD
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| Notice to Members 96-09 | SEC Approves NASD Proposal Relating To Third-Market Trading In IPOs Of Exchange-Listed Securities
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| Notice to Members 96-08 | SEC Approves Amendments To Section 59 Of The Uniform Practice Code Clarifying Delivery Deadlines That May Be Specified In Buy-In Notices
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| Notice to Members 96-07 | Fixed Income Pricing System Additions, Changes, and Deletions as of December 28, 1996
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| Notice to Members 96-06 | Nasdaq National Market Additions, Changes, and Deletions as of December 20, 1995
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| Notice to Members 96-05 | CRD Redesign Requires Actions By Members
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| Notice to Members 96-04 | 1995-96 Renewal Rosters And Final Adjusted Invoices
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| Notice to Members 96-03 | NASD Files With The SEC Proposed Rule Governing Members Operating On Bank Premises
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| Notice to Members 96-02 | SEC Approves Amendments To Article II, Section 4 Of The NASD By-Laws To Include Statutory Disqualification Provisions Adopted By Congress
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| Notice to Members 96-01 | Mail Vote - NASD Solicits Member Vote On Amendments To The NASD By-Laws To Require Members To File Required Documents Electronically
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| Notice To Members 95-102 | Overview Of Planned Changes To Disciplinary And Enforcement Procedures
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| Notice To Members 95-101 | Mail Vote—NASD Solicits Member Vote On Amendments To The NASD By-Laws To Reconfigure The NASD Board And Establish A National Nominating Committee;
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| Notice To Members 95-109 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1995
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| Notice To Members 95-108 | Nasdaq National Market Additions, Changes, And Deletions As Of November 20, 1995
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| Notice To Members 95-107 | Trade Date-Settlement Date Schedule For 1996
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| Notice To Members 95-106 | NASD 1996 Holiday Schedule
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| Notice To Members 95-105 | Treasury Offers Revised Currency Transaction Report Form
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| Notice To Members 95-104 | Expanded Sign-In Procedures At The PROCTOR Centers, Effective February 1, 1996; And PROCTOR Adds Remote Delivery Sites
And PROCTOR Adds Remote Delivery Sites
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| Notice To Members 95-103 | SEC Approves A Policy That Delegates Authority To The NASD Staff And The NASD Fixed Income Committee To Review Member Requests For Exemptions From MSRB Rule G-37(b)
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| Notice To Members 95-99 | Nasdaq National Market Additions, Changes, And Deletions As Of October 20, 1995
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| Notice To Members 95-98 | Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule
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| Notice To Members 95-97 | NASD Reminds Members About Treasury's Foreign Assets Control Regulations
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| Notice To Members 95-96 | Continuing Education Rosters Now Available To Member Firms
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