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 |
Title |
Description |
|---|---|---|
| Jun 1, 1999 | Notice to Members - June 1999 |
For Your Information
|
| Mar 1, 1999 | Notice to Members - March 1999 |
For Your Information
|
| Mar 1, 1999 | Notice to Members - March 1999 |
Year 2000 Update
|
| May 1, 1999 | Notice to Members - May 1999 |
Year 2000 Update
|
| Sep 10, 1999 | Notice to Members - September 1999 |
For Your Information
|
| Jan 10, 2000 | Notice to Members 00-01 |
1999-2000 Renewal Rosters and Final Adjusted Statements
|
| Jan 10, 2000 | Notice to Members 00-02 |
NASD Alerts Members to Their Obligations Concerning Soliciting Business in Foreign Jurisdictions
|
| Jan 10, 2000 | Notice to Members 00-03 |
Annual Checklist of NASD Notices to Members
|
| Jan 10, 2000 | Notice to Members 00-04 |
Martin Luther King, Jr. Day and Presidents Day: Trade Date -- Settlement Date Schedule
|
| Jan 10, 2000 | Notice to Members 00-05 |
Fixed Income Pricing System Additions, Changes, and Deletions as of November 23, 1999
|
| Jan 10, 2000 | Notice to Members 00-06 |
The Countdown to Decimals
|
| Jan 10, 2000 | Notice to Members 00-07 |
Disclosure to Customers Engaging in Extended Hours Trading
|
| Jan 10, 2000 | Notice to Members 00-08 |
NASD Reminds Members of Their Obligations Regarding Municipal Securities Transaction Reporting
|
| Feb 10, 2000 | Notice to Members 00-09 |
NASD Issues Various MSRB Rule G-37 Decisions on Exemptive Relief
|
| Feb 10, 2000 | Notice to Members 00-10 |
Nasdaq Reiterates Clearly Erroneous Complaint Procedures
|
| Feb 10, 2000 | Notice to Members 00-11 |
Fixed Income Pricing System Additions, Changes, and Deletions as of December 23, 1999
|
| 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
|