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.
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| Notice To Members 92-20 | Sale of Direct Participation Program Debt Instruments by Limited Principals and Representatives; SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
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| Notice To Members 92-17 | Adoption of Amendments to Interpretation of the Board of Governors — Forwarding Of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice Re: Forwarding Proxy Material on the Request of Stockholders
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| Notice To Members 92-27 | Advertising of Collateralized Mortgage Obligations by NASD Members
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| Notice To Members 92-29 | Nasdaq National Market Additions, Changes, and Deletions as of April 21, 1992
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| Notice To Members 92-26 | SEC Approval of Trade Reporting for Regular Nasdaq Securities
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| Notice To Members 92-28 | SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters
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| Notice To Members 92-25 | Proposed Amendment to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption for Negative-Response Letters Used to Facilitate Certain Bulk Exchanges of Money Market Mutual Funds
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| Notice To Members 92-30 | Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992
Last Voting Date: July 22, 1992
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| Notice To Members 92-35 | Nasdaq National Market Additions, Changes, and Deletions as of May 27, 1992
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| Notice To Members 92-32 | Request for Comments on Proposed Amendment to the Rules of Fair Practice Relating to the Respective Obligations and Supervisory Responsibilities of Introducing and Clearing Firms; Last Date for Comments: July 22, 1992
Last Date for Comments: July 22, 1992
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| Notice To Members 92-34 | Independence Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-31 | SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons
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| Notice To Members 92-33 | Providing of Proxy Voting Advice to Customers
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| Notice To Members 92-38 | SEC Adoption of Penny-Stock Disclosure Rules Under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990
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| Notice To Members 92-40 | Nasdaq National Market Additions, Changes, and Deletions as of June 26, 1992
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| Notice To Members 92-37 | Proposed Amendment to Article III, Section 21 of the Rules of Fair Practice to Require Predispute Arbitration Agreements to Include a Notice That Class-Action Matters May Not Be Arbitrated; Last Voting Date: August 21, 1992
Last Voting Date: August 21, 1992
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| Notice To Members 92-39 | Confirmation Disclosure Requirements for Transactions in Nasdaq Small-Cap Stocks
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| Notice To Members 92-36 | Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice And Section 8 of the NASD's Government Securities Rules to Require Members to Prefile Advertisements for Collateralized Mortgage Obligations; Last Voting Date: Aug
Last Voting Date: Aug
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| Notice To Members 92-46 | Nasdaq National Market Additions, Changes, and Deletions as of July 28, 1992
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| Notice To Members 92-43 | Labor Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-45 | SEC Adopts Temporary Risk Assessment Rules
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| Notice To Members 92-42 | Penny Stock Risk Disclosure Document
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| Notice To Members 92-44 | Appointment of a SIPC Trustee for Two Firms
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| Notice To Members 92-41 | SEC Approval of Amendments to Article III, Section 26 of the NASD Rules of Fair Practice Regarding Limitations on Mutual Fund Asset-Based Sales Charges; Effective July 7, 1993
Effective July 7, 1993
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| Notice To Members 92-48 | Columbus Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-47 | The Role of the NASD's Standing Committees
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| Notice To Members 92-49 | Nasdaq National Market Additions, Changes, and Deletions as of August 25, 1992
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| Notice To Members 92-54 | Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-51 | SEC Approval of Amendments Relating to "When, as and if Issued" and "When, As and if Distributed" Contracts; Effective November 2, 1992
Effective November 2, 1992
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| Notice To Members 92-53 | Underwriting Compensation Received by Members in Public Corporate Equity Offerings
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| Notice To Members 92-50 | Procedures Regarding Securities and Exchange Commission Rule 15c2-11 and Schedule H, Section 4 of the NASD® By-Laws
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| Notice To Members 92-55 | Nasdaq National Market Additions, Changes, and Deletions as of September 25, 1992
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| Notice To Members 92-52 | Broker/Dealer and Agent Renewals for 1992-93
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| Notice To Members 92-62 | SOES Tier Levels to Change for 538 Issues on December 1, 1992
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| Notice To Members 92-59 | SEC Approval of Amendments Requiring Prefiling of Advertisements for Collateralized Mortgage Obligations
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| Notice To Members 92-64 | Nasdaq National Market Additions, Changes, and Deletions as of October 26, 1992
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| Notice To Members 92-56 | Proposed Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) and Proposed Amendments to Article III, Section 35 of the Rules of Fair Practice to Incorporate Items From
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| Notice To Members 92-61 | Revised Form BD Goes Into Effect November 16, 1992
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| Notice To Members 92-58 | SEC Approval of Amendment to Section 13, Schedule E to the NASD By-Laws Effective October 1, 1992
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| Notice To Members 92-63 | Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
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