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 Pubsort ascending Title Description
Jun 1, 1998 Notice to Members FYI June 1998
For Your Information
May 1, 1998 Notice to Members FYI May 1998
For Your Information
May 1, 1998 Notice to Members 98-41
Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1998
May 1, 1998 Notice to Members 98-40
Nasdaq to Incorporate Trade Acceptance and Reconciliation Service into Automated Confirmation Transaction Service
May 1, 1998 Notice to Members 98-39
NASD Revises Sanction Guidelines
May 1, 1998 Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Apr 1, 1998 Notice to Members 98-36
Fixed Income Pricing System Additions, Changes, and Deletions as of March 25, 1998
Apr 1, 1998 Notice to Members 98-35
SEC Approves Changes to Continuing Education Rules
Apr 1, 1998 Notice to Members FYI April 1998
For Your Information
Apr 1, 1998 Notice to Members 98-37
Memorial Day: Trade Date -- Settlement Date Schedule
Mar 1, 1998 Notice to Members 98-28
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Mar 1, 1998 Notice to Members 98-27
Interim Forms U-4 and U-5 Go Into Effect; Interim Form BD Also Approved
Mar 1, 1998 Notice to Members 98-34
SEC Requests Comment on Amendments to Rule 17a-5 Requiring Reports on Year 2000 Preparedness
Mar 1, 1998 Notice to Members 98-33
SEC Approves New Order Audit Trail System (OATS)
Mar 1, 1998 Notice to Members FYI March 1998
For Your Information
Mar 1, 1998 Notice to Members 98-32
Good Friday: Trade Date -- Settlement Date Schedule
Mar 1, 1998 Notice to Members 98-31
Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 1998
Mar 1, 1998 Notice to Members 98-30
NASD Office of the Ombudsman Clarifies Its Role
Mar 1, 1998 Notice to Members 98-29
SOES Tier-Size Levels Set to Change April 1, 1998
Feb 1, 1998 Notice to Members 98-19
SEC Requests Comment on Proposed Amendments to Net Capital Rule
Feb 1, 1998 Notice to Members 98-18
NASD Regulation Permits Electronic Methods for Holding Annual Interviews or Meetings with Registered Representatives
Feb 1, 1998 Notice to Members 98-17
SEC Approves New NASD Qualification Requirements and Examination for Equity Traders (Series 55)
Feb 1, 1998 Notice to Members 98-16
SEC Approves New Qualification Examination for Government Securities Representatives (Series 72) and New Registration Requirements for Registered Options Representatives (Series 42)
Feb 1, 1998 Notice to Members 98-26
SEC Approves Temporary Changes to NYSE Circuit Breaker/Trading Halt Rules
Feb 1, 1998 Notice to Members 98-25
Fixed Income Pricing System Additions, Changes, and Deletions as of January 23, 1998

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