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 Pub Titlesort descending Description
Feb 10, 2000 Notice to Members 00-12
Amendments Adopted to Clarify the Application of NASD Rules to Offerings Under SEC Rule 504 and Intra-State-Only Offerings
Feb 29, 2000 Notice to Members 00-13
NASD Board of Governors Nominees
Mar 10, 2000 Notice to Members 00-14
NASD Members Must Update Firm Contact Information Via the NASD Regulation Web Site by April 30, 2000
Mar 10, 2000 Notice to Members 00-15
SEC Approves Rule Change Relating to Filing Requirements for Independently Prepared Research Reports
Mar 10, 2000 Notice to Members 00-16
SEC Approves Changes to NASD Public Disclosure Program (Interpretive Material 8310-2)
Mar 10, 2000 Notice to Members 00-17
NASD Regulation Requests Comment on Proposed Recordkeeping and Reporting Requirements for Quotations on Certain Automated, Inter-Dealer Quotation Systems
Comment Period Expired April 10, 2000
Mar 10, 2000 Notice to Members 00-18
NASD Regulation Issues Statement of Policy Regarding Recordation by Members of NASD Examinations
Mar 10, 2000 Notice to Members 00-19
Fixed Income Pricing System Additions, Changes, and Deletions as of January 24, 2000
Mar 10, 2000 Notice to Members 00-20
Good Friday: Trade Date - Settlement Date Schedule
Apr 10, 2000 Notice to Members 00-21
NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
Apr 10, 2000 Notice to Members 00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period
Effective Date: May 15, 2000
Apr 10, 2000 Notice to Members 00-23
SEC Approves New Rules Relating to Bond Mutual Fund Volatility Ratings
Apr 10, 2000 Notice to Members 00-24
Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 2000
Apr 10, 2000 Notice to Members 00-25
Memorial Day: Trade Date - Settlement Date Schedule
Apr 24, 2000 Notice to Members 00-26
NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
May 1, 2000 Notice to Members 00-27
Deadline Extended for Series 55 Equity Trader Examination to October 1, 2000
May 10, 2000 Notice to Members 00-28
SEC Approves Use of Hard to Borrow List to Comply with the Affirmative Determination Requirement for Short Sales (Rule 3370)
May 10, 2000 Notice to Members 00-29
SEC Approves Changes to Nasdaq Locked/Crossed Markets Rule
Effective Date: June 5, 2000
May 10, 2000 Notice to Members 00-30
SEC Approves New Systems and Rules Governing Delivery, Negotiation, and Execution of Orders for Nasdaq National Market Securities
Effective Date: July 10, 2000
May 10, 2000 Notice to Members 00-31
Fixed Income Pricing System Additions, Changes, and Deletions as of March 23, 2000
May 10, 2000 Notice to Members 00-32
SEC Suspends Decimalization Deadline and Requests Comment on Extended Deadline
May 10, 2000 Notice to Members 00-33
NASD Regulation Adopts New Rule Interpretation to Require Confirmation Disclosure of Callable Common Stock
Jun 5, 2000 Notice to Members 00-34
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Jun 12, 2000 Notice to Members 00-35
NASD Regulation Reminds Firms of CRD Continuing Education Notification Method and Informs Firms to Review Written Supervisory Procedures
Jun 12, 2000 Notice to Members 00-36
SEC Approves Rule Change to Permit Publication of All Final Litigated Decisions Issued by the Office Of Hearing Officers, the National Adjudicatory Council, and the NASD Board
Effective Date: July 10, 2000

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