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Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Notice To Members 85-13
NASDAQ National Market System Grows to 1,569 Securities With 100 Voluntary Additions on March 5, 1985
Notice To Members 85-14
Brentwood Securities, Inc. 11487 Wilshire Boulevard, 3rd Floor Los Angeles, California 90025
Notice To Members 85-15
Questionnaire Concerning an Information Service for Direct Participation Program Securities
Notice To Members 85-16
Holiday Settlement Schedule
Notice To Members 85-18
Proposed Amendment to Article III, Section 33 of the Rules of Fair Practice — "Options"
Notice To Members 85-17
Request for Comments on Proposed Amendment to Appendix F Concerning Sales Incentives for Direct Participation Programs
Notice To Members 85-19
NASDAQ National Market System Grows to 1,766 Securities With 100 Voluntary Additions on April 2, 1985
Notice To Members 85-20
Request for Comment on Proposed Corporate Governance Requirements for NASDAQ National Market System Companies
Notice To Members 85-21
Request for Comments on Proposed Rule on Private Securities Transactions
Notice To Members 85-22
NASDAQ National Market System Grows to 1,861 Securities With 100 Voluntary Additions on April 16, 1985
Notice To Members 85-23
Quarterly Checklist of Notices to Members
Notice To Members 85-25
Bevill, Bresler & Schulman, Incorporated Bevill, Bresler & Schulman Securities, Inc. Austin Investment Planning, Inc. 301 South Livingston Avenue Livingston, New Jersey
Notice To Members 85-24
NASDAQ Equity Audit Trail
Notice To Members 85-26
Adoption of an Amendment to the Interpretation of the Board of Governors on "Forwarding of Proxy and Other Materials"
Notice To Members 85-27
Approval of Recodified By-Laws and New Code of Procedure
Notice To Members 85-28
Collins Securities Corporation 400 Tower Building Fourth & Center Streets Little Rock, Arkansas
Notice To Members 85-29
Compensation Received in Connection with Direct Participation Programs
Notice To Members 85-30
Securities and Exchange Commission Release Announcing Shareholder Communication Proposals
Notice To Members 85-31
NASDAQ National Market System Grows to 1,940 Securities With 82 Voluntary Additions on May 7, 1985, and Six Mandatory Inclusions on May 14, 1985
Notice To Members 85-32
Payment for Order Flow
Notice To Members 85-33
Coastal Securities Corporation 1888 Century Park E., Suite 1606 Los Angeles, California 90067
Notice To Members 85-34
Memorial Day Trade Date — Settlement Date Schedule
Notice To Members 85-36
NASDAQ National Market System Grows to 1,976 Securities With 42 Voluntary Additions on May 21, 1985
Notice To Members 85-35
Bevill, Bresler & Sehulman Incorporated 301 South Livingston Avenue Livingston, New Jersey 07039
Notice To Members 85-37
Parr Securities Corp., 68 William Street New York, New York 10005
Notice To Members 85-38
Parr Securities Corp., 68 William Street New York, New York 10005
Notice To Members 85-39
NASDAQ National Market System Grows to 1,998 Securities With 23 Voluntary Additions on June 4, 1985
Notice To Members 85-40
Implementation of Revised Forms U-4 and U-5
Notice To Members 85-42
Independence Day Trade Date — Settlement Date Schedule
Notice To Members 85-41
Request for Comments on Amendment Concerning Associated Persons' Accounts with Investment Advisers, Banks, and Other Financial Institutions
Notice To Members 85-44
NASDAQ National Market System Grows to 2,012 Securities With 22 Voluntary Additions on June 18, 1985
Notice To Members 85-43
Proposed New Rule of Fair Practice Relating to Permission for Members to Alter Their Methods of Operation Under SEC Rule 15C3-3 (the "Customer Protection Rule")
Notice To Members 85-45
NASDAQ National Market System Grows to 2,045 Securities With 40 Voluntary Additions on July 2, 1985
Notice To Members 85-46
Offshore Shell Bank Licenses Registered in Majuro, Marshall Islands — update
Notice To Members 85-47
NASDAQ National Market System Grows to 2,057 Securities With 21 Voluntary Additions on July 16, 1985
Notice To Members 85-48
Qualification and Registration Requirements of Schedule C
Notice To Members 85-49
Request for Comment on Shareholder Voting Rights for NASDAQ National Market System Companies
Notice To Members 85-50
NASDAQ National Market System Grows to 2,077 Securities With 32 Voluntary Additions on August 6, 1985
Notice To Members 85-51
Donald E. Sheldon & Co., Inc. One Wall Street New York, New York 10005
Notice To Members 85-52
SEC Request for Comment on Issues Relating to the Designation of NASDAQ/NMS Securities
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