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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 87-38
Independence Day Trade Date-Settlement Date Schedule
Notice To Members 87-39
Request for Comments on Addition of a Corporate Securities Limited Representative Category of Registration Under Schedule C to the NASD By-Laws
Notice To Members 87-40
Request for Comments on a Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
Notice To Members 87-41
Proposed Amendments to Definitions of "Branch Office" and "Office of Supervisory Jurisdiction" Under the NASD By-Laws, Schedule C to the By-Laws, and the Rules of Fair Practice
Notice To Members 87-43
Adoption of Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Regarding Advertising and Sales Literature for Direct Participation Programs
Notice To Members 87-42
NASDAQ National Market System Grows to 2,972 Securities With 29 Voluntary Additions on July 7, 1987
Notice To Members 87-44
Proposed Amendment to Article III, Section 26(m) of the NASD Rules of Fair Practice Governing Prompt Payment for Investment Company Shares
Notice To Members 87-45
NASDAQ National Market System Grows to 2,993 Securities With 20 Voluntary Additions on July 21, 1987
Notice To Members 87-46
SEC Approval of NASD Corporate Governance Standards for NASDAQ/NMS Issuers and Amendments to Schedule D to the NASD By-Laws Concerning Designation of NASDAQ National Market System (NASDAQ/NMS) Securities
Notice To Members 87-47
Request for Comments on a Proposed New Level of Registration, Designated Assistant Representative-Order Processing, Under Schedule C to the NASD By-Laws
Notice To Members 87-48
NASDAQ National Market System Grows to 3,019 Securities With 30 Voluntary Additions on August 4, 1987, and One Mandatory Inclusion On August 4, 1987
Notice To Members 87-49
New $ 10 NYSE Series 7 Development Fee to Begin in August
Notice To Members 87-50
Amendments to SEC Rules 15c3-l, 17a-3, and 17a-13 Regarding Treatment of Repurchase and Reverse Repurchase Agreements
Notice To Members 87-52
Request for Comments on Proposed Amendment to the NASD Board of Governors' Corporate Financing Interpretation Concerning Public Offerings When Proceeds Are Directed to NASD Members
Notice To Members 87-51
Treasury Department Adopts Changes to the Requirements Concerning Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Notice To Members 87-53
Request for Comments on Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules
Notice To Members 87-54
NASDAQ National Market System Grows to 3,018 Securities With 8 Additions on August 18, 1987
Notice To Members 87-55
Amendments to NASD Code of Arbitration Procedure Effective July 1, 1987
Notice To Members 87-56
Labor Day; Trade Date-Settlement Date Schedule
Trade Date-Settlement Date Schedule
Notice To Members 87-57
NASDAQ National Market System Grows to 3,039 Securities With 23 Additions on September 1, 1987
Notice To Members 87-59
Check List of NASD Notices to Members
Notice To Members 87-58
Amendments to SEC Rule 15c3-3 Regarding Treatment of Hold-in-Custody Repurchase Agreements
Notice To Members 87-60
NASDAQ National Market System Grows to 3,046 Securities With 11 Additions on September 15, 1987
Notice To Members 87-61
Suggested Escrow Agreement Provisions for Members' Compliance With Securities and Exchange Commission Rule 15c2-4
Notice To Members 87-62
NASD Board of Governors' Decision Concerning Regulation of Market Making by Issuer Affiliates
Notice To Members 87-63
Columbus Day: Trade Date-Settlement Date Schedule
Notice To Members 87-64
NASDAQ National Market System Grows to 3,063 Securities With 17 Additions on October 6, 1987
Notice To Members 87-65
Statutorily Disqualified Persons Who Obtain a Controlling Interest in an NASD Member Firm and Failure of NASD-Registered Persons Who Become Statutorily Disqualified to Timely Amend Form U-4
Notice To Members 87-67
Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
Notice To Members 87-66
Quarterly Check List of NASD Notices to Members
Notice To Members 87-68
NASDAQ National Market System Grows to 3,077 Securities With 10 Additions on October 20, 1987
Notice To Members 87-69
Front-Running of Blocks—Interpretation of the Board of Governors on Article III, Section 1 of the Rules of Fair Practice
Notice To Members 87-70
Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedules
Notice To Members 87-71
H.B. Shaine & Co., Inc. Ill Pearl Street, N.W. Grand Rapids, Michigan 49503
Notice To Members 87-72
NASDAQ National Market System Grows to 3,087 Securities With 15 Additions on November 3, 1987
Notice To Members 87-73
Request for Comments on Amendment to Board of Governors' Free-Riding Interpretation Concerning Investment Partnerships
Notice To Members 87-74
NASDAQ National Market System Grows to 3,076 Securities With 10 Additions on November 17, 1987
Notice To Members 87-76
New Category of Limited Representative Registration for Corporate Securities and Availability of a Study Outline for the Series 62 — Corporate Securities Limited Representative Qualification Examination
Notice To Members 87-75
Revised Series 4 — Registered Options Principal (ROP) Qualification Examination and New Study Outline
Notice To Members 87-77
Request for Comments on Proposed Amendments to the Rules of Practice and Procedures for the NASD's Small Order Execution System and to Schedule D to the NASD By-Laws
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