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
Jul 1, 1998 Notice to Members 98-51
Exemptive Relief Under MSRB Rule G-37(i)
Jul 1, 1998 Notice to Members 98-50
Treasury Updates List of Specially Designated Persons and Entities
Jul 1, 1998 Notice to Members 98-49
SEC Approves Amendments to Rule Regarding Options Position Limits; Effective June 12, 1998
Jul 1, 1998 Notice to Members 98-48
SEC Approves Amendments to Free-Riding and Withholding Interpretation; Effective August 17, 1998
Jul 1, 1998 Notice to Members 98-63
NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers to File Year 2000 Reports and Releases Year 2000 Survey Results
Jul 1, 1998 Notice to Members 98-47
SEC Approves Changes to Books and Records Requirements
Jul 1, 1998 Notice to Members 98-62
District Committee and District Nominating Committee Election Procedures and National Adjudicatory Council Nomination Procedures
Jul 1, 1998 Notice to Members 98-58
NASD Manual Now Online
Jun 1, 1998 Notice to Members 98-46
Independence Day: Trade Date -- Settlement Date Schedule
Jun 1, 1998 Notice to Members 98-45
Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 1998
Jun 1, 1998 Notice to Members 98-44
SOES Tier-Size Levels Set to Change July 1, 1998
Jun 1, 1998 Notice to Members 98-43
Federal Reserve System Amends Regulations T, U, and X
Jun 1, 1998 Notice to Members FYI June 1998
For Your Information
Jun 1, 1998 Notice to Members 98-42
NASD Requests Comment on Proposed Rules Regarding Cease-and-Desist Proceedings
Comment Period Expired July 31, 1998
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

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