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
Oct 1, 1998 Notice to Members 98-86
Columbus Day, Veterans Day, and Thanksgiving Day: Trade Date -- Settlement Date Schedule
Oct 1, 1998 Notice to Members 98-85
SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked and Crossed Markets, and Members' Obligation to Provide Nasdaq with Certain Information
Oct 1, 1998 Notice to Members FYI October 1998
For Your Information
Oct 1, 1998 Notice to Members 98-84
Broker/Dealer and Agent Renewals for 1999
Oct 1, 1998 Notice to Members 98-83
SEC Approves Rule Change Relating to Standards for Individual Correspondence
Effective November 16, 1998
Oct 1, 1998 Notice to Members 98-82
SEC Approves Amendments to Automated Confirmation Transaction Service and Transaction Reporting Rules
Oct 1, 1998 Notice to Members 98-81
NASD Regulation Requests Comment on Whether Some Rules Should be Repealed as Obsolete or Amended to Provide Institutional Customer Exception
Comment Period Expired February 16, 1999
Oct 1, 1998 Notice to Members 98-89
NASD Announces Changes in CRD Filing Fees
Oct 1, 1998 Notice to Members 98-88
Underwriting Compensation in Public Offerings
Oct 1, 1998 Notice to Members 98-87
Fixed Income Pricing System Additions, Changes, and Deletions as of August 24, 1998
Sep 1, 1998 Notice to Members 98-74
SEC Approves Rule Amendment Relating to Hearings on Suspensions and Cancellations for Failure to Comply with Arbitration Awards
Sep 1, 1998 Notice to Members 98-73
Firms Required to Register for Order Audit Trail System; Amendments to OATS Rules
Sep 1, 1998 Notice to Members 98-72
Regional Nominating Committee Nominees for the National Adjudicatory Council
Sep 1, 1998 Notice to Members FYI September 1998
For Your Information
Sep 1, 1998 Notice to Members 98-80
Nominees for NASD Board of Governors
Sep 1, 1998 Notice to Members 98-79
Fixed Income Pricing System Additions, Changes, and Deletions as of July 23, 1998
Sep 1, 1998 Notice to Members 98-78
NASD Clarifies Operation of the Limit Order Protection Rule During Unusual Market Conditions
Sep 1, 1998 Notice to Members 98-77
Executive Representatives Must Maintain Internet Electronic Mail Account by January 1, 1999
Complimentary Hard Copy Distribution of Key Publications to End January 1, 1999
Sep 1, 1998 Notice to Members 98-76
Maximum SOES Order Sizes Set to Change October 1, 1998
Sep 1, 1998 Notice to Members 98-75
SEC Approves Rule Change Relating to Non-Cash Compensation for Mutual Funds and Variable Products
Aug 1, 1998 Notice to Members 98-66
NASD Clarifies Acceptable Customer Access to SelectNet and SOES
Correction - On page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES should read:The SOES rules currently contain a specific provision, NASD Rule 4720(c)(4), that requires SOES order entry firms to maintain the physical security of Nasdaq equipment located on the premises of the firm to prevent unauthorized entry of information into SOES.
Aug 1, 1998 Notice to Members 98-64
Mail Vote --- NASD Solicits Member Vote on Amendments to NASD By-Laws to Reconfigure NASD Board
Revised Last Voting Date: September 14, 1998(Note: voting by NASD member Executive Representatives only through mail ballots distributed with print version of this Notice.)
Aug 1, 1998 Notice to Members 98-65
NASD Reminds Members of Obligations Relating to the Short-Sale Rule
Aug 1, 1998 Notice to Members FYI August 1998
For Your Information
Aug 1, 1998 Notice to Members 98-71
NASD Regulation Requests Comment On Whether to Modify the Public Disclosure Program to Limit the Period for Disclosure of Certain Criminal Information
Comment Period Expired September 30, 1998

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