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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 90-16
New Interim Criteria for Initial Inclusion in the NASDAQ System
Notice To Members 90-15
Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990
Notice To Members 90-14
Proposed Amendments to Article III, Section 35 of NASD's Rules of Fair Parctice Re: Communications With the Public; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
Notice To Members 90-13
Proposed Technical Amendment to Pending Prompt Receipt Rule; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
Notice To Members 90-12
Proposed Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
Notice To Members 90-11
Proposed Amendment Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
Notice To Members 90-10
Proposed Corporate Financing Rule; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
Notice To Members 90-9
Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Begins March 1, 1990
Notice To Members 90-8
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of January 11, 1990
Notice To Members 90-7
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 90-6
Annual Check List of NASD Notices to Members
Notice To Members 90-5
NASDAQ National Market Additions, Changes, and Deletions As of December 12, 1989
Notice To Members 90-4
Trade Date-Settlement Date Schedule for 1990
Notice To Members 90-3
Registration Renewal Rosters and Final Adjusted Invoices
Notice To Members 90-2
Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons
Notice To Members 90-1
Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration
Notice To Members 89-81
NASDAQ National Market Additions, Changes, and Deletions As of November 13, 1989
Notice To Members 89-80
Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 89-79
NASD 1990 Holiday Schedule
Notice To Members 89-78
Availability of Two New NASD Categories of Registration and Qualification Examinations
Notice To Members 89-77
Proposed Amendments to Article III, Section 12 of the NASD Rules of Fair Practice Re: Disclosure on Confirmations When Investment Companies Impose a Deferred Sales Charge on Redemption; Last Date For Comment: January 2, 1990
Last Date For Comment: January 2, 1990
Notice To Members 89-76
Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Set for First Quarter 1990
For Your Information - November 1989
For Your Information (November)
Notice To Members 89-75
NASDAQ National Market Additions, Changes, and Deletions as of October 12, 1989
Notice To Members 89-74
Thanksgiving Day: Trade Date-Settlement Date Schedule
Notice To Members 89-73
Revisions to Certain NASD Qualification Examinations
Notice To Members 89-72
Broker-Dealer and Agent Renewals for 1989-90
Notice To Members 89-71
SEC Approval of Amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice on Notice to Membership of Disciplinary Actions, Publication of <em>Sanctions, and Availability of NASD Manual</em> — Effective September 19, 1989
Notice To Members 89-70
Automated Submission of Trading Data
Notice To Members 89-69
SEC Proposes Significant Amendments to the Net Capital Rule; Last Date for Comments: December 18, 1989
Last Date for Comments: December 18, 1989
For Your Information - October 1989
For Your Information (October)
Notice To Members 89-68
Nasdaq National Market Additions, Changes, and Deletions as of September 14, 1989
Notice To Members 89-67
SOES Tier Levels to Change for 521 Issues on October 9, 1989
Notice To Members 89-66
Size of "Normal" Unit of Trading For NASDAQ-Listed Debentures
Notice To Members 89-65
SEC Adoption of Rule 15c2-6 Re: Sales Practice and Suitability Requirements for Certain Low-Priced Securities
Notice To Members 89-64
SEC Approval of Rule of Fair Practice Amendment Re: The Conduct of Accounts Engaged in Uncovered Short Option Transactions
For Your Information - September 1989
For Your Information
Notice To Members 89-63
NASDAQ National Market Additions, Changes, and Deletions as of August 11, 1989
Notice To Members 89-62
Columbus Day Trade Date-Settlement Date Schedule
Notice To Members 89-61
NASDAQ National Market Additions, Changes, and Deletions as of July 12, 1989
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