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 |
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| Notice To Members 90-35 | SEC Approval for and Startup of the OTC Bulletin Board
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| Notice To Members 90-36 | Proposed Amendments to the NASD By-Laws Implementing the Recommendations of the Special Committee on NASD Structure and Governance; Last Voting Date: July 5, 1990
Last Voting Date: July 5, 1990
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| Notice To Members 90-41 | Independence Day: Trade Date-Settlement Date Schedule
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| Notice To Members 90-38 | Proposed Concept for Continuing Assessment of Registered Representatives in the Form of Amendment to Part HI, Section (1)(d) of Schedule C to the NASD By-Laws; Last Date for Comment: July 31, 1990
Last Date for Comment: July 31, 1990
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| Notice To Members 90-40 | SEC Approval of an Amendment to Schedule H to the NASD By-Laws Requiring Members to Demonstrate Compliance With Rule 15c2-11 Before Initiating Quotations in a Quotation Medium
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| Notice To Members 90-37 | Proposed New Rule Re: Handling Customer Limit Orders; Last Voting Date: July 5, 1990
Last Voting Date: July 5, 1990
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| Notice To Members 90-42 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of May 14, 1990
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| Notice To Members 90-39 | Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Date for Comment: July 5, 1990
Last Date for Comment: July 5, 1990
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| Notice To Members 90-44 | SEC Approval of Amendment to Code of Procedure Regarding Summary Remedial Proceedings, Effective July 1, 1990
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| Notice To Members 90-49 | SIPC Trustee Appointed for First Ohio Securities Company
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| Notice To Members 90-46 | Reporting Disciplinary Information on Form BD
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| Notice To Members 90-43 | Proposed Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events; Last Date for Comment: August 3, 1990
Last Date for Comment: August 3, 1990
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| Notice To Members 90-48 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of June 14, 1990
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| Notice To Members 90-45 | SEC Approval to Articles II and III of the NASD's Code of Procedure Regarding Board of Governors and Committee Proceedings in Disciplinary Actions, Effective August 1, 1990
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| Notice To Members 90-47 | Amendments to Code of Arbitration Procedure
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| Notice To Members 90-52 | SEC Approval of Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information
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| Notice To Members 90-54 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of July 13, 1990
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| Notice To Members 90-51 | SEC Approval of Amendment to Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities
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| Notice To Members 90-53 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 90-50 | Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying and Obtaining Approval of Employer Prior to Opening Securities Account With Another Member; Last Date for Comment: September 4, 1990
Last Date for Comment: September 4, 1990
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| Notice To Members 90-55 | SIPC Trustee Appointed for Blinder, Robinson & Company, Inc.
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| Notice To Members 90-60 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of August 13, 1990
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| Notice To Members 90-57 | Implementation of Amendment to Rules of Practice and Procedures for the Small Order Execution System Re: Market Makers' Entry of Agency Orders into SOES, Effective July 27, 1990
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| Notice To Members 90-59 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 90-56 | Proposed Amendments to Subsections (b) "Definitions" and (d) ("Sales Charge Rule") of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation By the NASD of Mutual Fund Asset-Based Sales Charges; Last Voting
Last Voting
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| Notice To Members 90-58 | Clarification of Schedule H Reporting Requirements
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| Notice To Members 90-68 | Amendment to Schedule C of the NASD By-Laws Regarding Requalification by Examination For Persons Whose Registration Has Been Revoked, Effective October 1, 1990
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| Notice To Members 90-65 | Suggested Customer Suitability Statement and Agreement to Purchase Form for Members' Compliance With SEC Rule 15c2-6
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| Notice To Members 90-70 | Veteran's Day - Trade Date-Settlement Date Schedule
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| Notice To Members 90-62 | Proposed Amendment Re: Use and Disclosure of Member Names; Last Voting Date: November 5, 1990
Last Voting Date: November 5, 1990
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| Notice To Members 90-67 | SOES Tier Levels to Change for 450 Issues on October 15, 1990
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| Notice To Members 90-72 | SIPC Trustee Appointed for DFW Clearing, Inc.
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| Notice To Members 90-64 | Amendments to the NASD By-Laws and to Schedule B Thereof to Modify the Size and Composition of the Board of Governors and the Number and Configuration of the Districts, Effective September 4, 1990
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| Notice To Members 90-69 | Amendment to Schedule C of the NASD By-Laws Regarding Use of the Modified General Securities Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom, Effective Immediately
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| Notice To Members 90-61 | Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 and Article V, Sections 1 and 3 of the NASD Rules of Fair Practice Re: Retention of Jurisdiction Over Member Firms and Associa
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| Notice To Members 90-66 | Proposed Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital
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| Notice To Members 90-71 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of September 13, 1990
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| Notice To Members 90-63 | Amendment to Proposed Rule Re: Disclosure of Payment for Order Flow Practices On Customer Confirmations; Last Voting Date: November 5, 1990
Last Voting Date: November 5, 1990
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| Notice To Members 90-76 | Broker-Dealer and Agent Renewals for 1991
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| Notice To Members 90-73 | Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member; Last Voting Date: December 5, 1990
Last Voting Date: December 5, 1990
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