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
Aug 1, 1998 Notice to Members 98-67
SEC Approves Amendment To Rule On Fidelity Bonding Requirements; Effective September 15, 1998
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
Jul 1, 1998 Notice to Members 98-55
Transaction Reporting and Quotation Obligations Under the Fixed Income Pricing System (FIPS)
Jul 1, 1998 Notice to Members 98-54
SEC Approves Rule Change Regarding Approval of Research Reports
Jul 1, 1998 Notice to Members 98-53
Members Reminded to Report Executive Representative and Address Changes
Jul 1, 1998 Notice to Members 98-52
SEC Approves Taping Rule; Effective August 17, 1998
Jul 1, 1998 Notice to Members FYI July 1998
For Your Information
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 98-47
SEC Approves Changes to Books and Records Requirements
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 98-62
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
Jul 1, 1998 Notice to Members 98-61
NASD Members Face CRD Account Deduction or Membership Cancellation for Non-payment of Arbitration Fees
Jul 1, 1998 Notice to Members 98-57
Fixed Income Pricing System Additions, Changes, and Deletions as of June 24, 1998
Jul 1, 1998 Notice to Members 98-60
NASD Extends Filing Period for New Equity Trader Examination and Responds to Questions Regarding New Equity Trader Qualification Rule
Jul 1, 1998 Notice to Members 98-59
SEC Approves Amendments to NASD Rule 1120 (Continuing Education Requirements)
Jul 1, 1998 Notice to Members 98-56
SEC Approves Rule Change Regarding Arbitration of Statutory Employment Disputes
Effective January 1, 1999
Jun 1, 1998 Notice to Members 98-43
Federal Reserve System Amends Regulations T, U, and X
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
Jun 1, 1998 Notice to Members FYI June 1998
For Your Information

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