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
Jan 1, 1998 Notice to Members 98-05
SEC Approves Changes to Third Market Trading Rules
Jan 1, 1998 Notice to Members 98-08
Treasury Requires Reporting of Claims Against Government of North Korea
Jan 1, 1998 Notice to Members 98-07
Unregistered Foreign Equities and ADRs No Longer Eligible for Quotation in OTC Bulletin Board
Effective April 1, 1998
Jan 1, 1998 Notice to Members 98-15
NASD Regulation Requests Comment on Proposal to Adopt Recommendation and Disclosure Rules for Over-The-Counter (OTC) Equity Securities
Comment Period Expired March 16, 1998
Jan 1, 1998 Notice to Members 98-14
NASD Requests Comment on Limiting Quotations on Over-the-Counter Bulletin Board (OTCBB) to Securities of Reporting Issuers
Comment Period Expired March 16, 1998
Jan 1, 1998 Notice to Members 98-13
Fixed Income Pricing System Additions, Changes, and Deletions as of December 30, 1997
Jan 1, 1998 Notice to Members 98-06
SEC Approves Changes to Rules on Market Maker Withdrawals and Reinstatements
Jan 1, 1998 Notice to Members FYI January 1998
For Your Information
Jan 1, 1998 Notice to Members 98-12
Presidents' Day: Trade Date -- Settlement Date Schedule
Jan 1, 1998 Notice to Members 98-04
Reminder of Members' Obligations to Comply with Rule15c2-4
Jan 1, 1998 Notice to Members 98-03
Electronic Delivery of Information Between Members and Their Customers
Jan 1, 1998 Notice to Members 98-11
SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence
Effective February 15, 1998
Jan 1, 1998 Notice to Members 98-02
SEC Approves Amendments to Rule 1010, 8000, and 9000 Series to Reflect Changes in NASD Corporate Organization
Jan 1, 1998 Notice to Members 98-10
Transaction Reporting and Quotation Obligations Under the Fixed Income Pricing System (FIPS)
Jan 1, 1998 Notice to Members 98-01
Arbitration Process Fees
Dec 1, 1997 Notice to Members 97-93
Trade Date Settlement Date Schedule for 1998
Dec 1, 1997 Notice to Members 97-92
NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices to Members And Regulatory & Compliance Alert
Comment Period Expired January 31, 1998
Dec 1, 1997 Notice to Members 97-91
NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation
Dec 1, 1997 Notice to Members 97-90
SOES Tier-Size Levels Set To Change January 1, 1998
Dec 1, 1997 Notice to Members December 1997 Survey
Survey
Dec 1, 1997 Notice to Members 97-89
SEC Approves Bank Broker/Dealer Rule; Effective February 15, 1998
Dec 1, 1997 Notice to Members 97-96
Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey
Dec 1, 1997 Notice to Members 97-88
SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority; Effective Immediately
Dec 1, 1997 Notice to Members 97-87
Treasury Updates List of Specially Designated Persons and Entities
Dec 1, 1997 Notice to Members 97-95
Fixed Income Pricing System Additions, Changes, and Deletions as of November 21, 1997

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