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, 1997 Notice to Members 97-38
SOES Tier Levels Set to Change July 1, 1997
Jun 1, 1997 Notice to Members 97-37
NASD Regulation Requests Comment on Proposed Definition of Correspondence for Rules Regarding Communications with the Public
Comment Period Expired July 15, 1997
Jun 1, 1997 Notice to Members 97-36
NASD Interpretive Letters
May 1, 1997 Notice to Members 97-29
NASD Regulation Discusses Member Disclosure Obligations and Requests Comment on the Appropriateness of Adopting a Rule Governing Risk Disclosure
Comment Period Expired June 30, 1997
May 1, 1997 Notice to Members 97-28
Approval of Investment Company Rankings Amendments
May 1, 1997 Notice to Members 97-27
Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
May 1, 1997 Notice to Members 97-26
NASD Regulation Files Amendments to Bank Broker/Dealer Rule with the SEC
May 1, 1997 Notice to Members 97-25
NASD Interpretive Position NASD Rule 3050 Transactions for or By Associated Persons
May 1, 1997 Notice to Members 97-24
"Limited Edition" Treasury Securities
May 1, 1997 Notice to Members 97-23
1997 Direct Participation Program Directory
May 1, 1997 Notice to Members FYI May 1997
For Your Information
May 1, 1997 Notice to Members 97-33
Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1997
May 1, 1997 Notice to Members 97-32
NASD Regulation Files Proposed Changes to Disciplinary, Election, and Membership Procedures with the SEC
May 1, 1997 Notice to Members 97-31
NASD Reminds Registered Persons of Continuing Obligation to Update NASD Records
May 1, 1997 Notice to Members 97-30
NASD Regulation Requests Comments on Amendments to the Free-Riding and Withholding Interpretation
Comment Period Expired June 16, 1997
Apr 1, 1997 Notice to Members 97-21
Memorial Day: Trade Date Settlement Date Schedule
Apr 1, 1997 Notice to Members 97-20
Members Reminded to Report Executive Representative and Address Changes
Apr 1, 1997 Notice to Members 97-19
NASD Regulation and New York Stock Exchange Memorandum Discusses Sweep Report and Provides Guidance on Heightened Supervision Recommendations
Apr 1, 1997 Notice to Members 97-22
Fixed Income Pricing System Additions, Changes, and Deletions as of March 24, 1997
Mar 1, 1997 Notice to Members 97-12
NASD Regulation Requests Comment on Proposed Rule Governing Use and Release of Customer Confidential Financial Information
Comment Period Expired April 30, 1997
Mar 1, 1997 Notice to Members 97-11
NASD Regulation Requests Comment on Proposed Rule Restricting Payment of Referral Fees by NASD Members
Comment Period Expired April 30, 1997
Mar 1, 1997 Notice to Members 97-10
SEC to Approve Amendments to NASD Rules to Facilitate Compliance with SEC Regulation M
Mar 1, 1997 Notice to Members 97-09
Industry/Regulatory Council on Continuing Education Issues Continuing Education Program Firm Element Advisory
Mar 1, 1997 Notice to Members 97-08
SEC Approves Quotation and Transaction Reporting of Direct Participation Programs
Mar 1, 1997 Notice to Members 97-18
Fixed Income Pricing System Additions, Changes, and Deletions as of February 21, 1997

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