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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 86-86
NASDAQ National Market System Grows to 2,709 Securities With 26 Voluntary Additions on December 16, 1986
Notice To Members 86-88
Effect of the Tax Reform Act of 1986 on NASD Qualifications Examinations
Notice To Members 86-87
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 87-1
Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule
Notice To Members 87-2
Adoption of Amendments to Article III, Section 28 of the NASD Rules of Fair Practice Regarding Securities Accounts of Associated Persons at Non-NASD Members
Notice To Members 87-3
NASDAQ National Market System Grows to 2,729 Securities With 17 Voluntary Additions on January 20, 1987
Notice To Members 87-4
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 87-5
NASDAQ National Market System Grows to 2,754 Securities With 24 Voluntary Additions on February 3, 1987
Notice To Members 87-6
Request for Comments on Proposed Amendments to the NASD's Rules of Practice and Procedure For the Small Order Execution System (SOES)
Notice To Members 87-7
NASDAQ National Market System Grows to 2,775 Securities With 17 Voluntary Additions on February 17, 1987
Notice To Members 87-8
South African Sanctions Act Regulations
Notice To Members 87-9
Proposed Amendments to Article XIV of the NASD By-Laws and Article V, Sections 1 and 2 of the NASD Rules of Fair Practice Concerning Disciplinary Sanctions
Notice To Members 87-11
NASDAQ National Market System Grows to 2,788 Securities With 17 Voluntary Additions on March 3, 1987
Notice To Members 87-10
Proposed Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
Notice To Members 87-12
Adoption of Amendment to Schedule G of the NASD By-Laws
Notice To Members 87-13
Proposed Amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws
Notice To Members 87-14
Request for Comments on Proposed Amendments to Article I, Section (c) of the NASD By-Laws and Schedule C to the NASD By-Laws Relating to the Definition of the Term "Branch Office"
Notice To Members 87-15
Proposed Amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice and the Interpretation of the Board of Governors Concerning Short Sales
Notice To Members 87-16
Request for Comments on Proposed Amendments to Article IV, Sections 3 and 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice
Notice To Members 87-17
NASDAQ National Market System Grows to 2,802 Securities With 20 Voluntary Additions on March 17, 1987
Notice To Members 87-18
Holiday Settlement Schedule
Notice To Members 87-19
Federal Regulation of Government Securities Brokers and Dealers Under the Government Securities Act of 1986
Notice To Members 87-20
Request for Comments on Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice
Notice To Members 87-21
NASDAQ National Market System Grows to 2,847 Securities With 37 Voluntary Additions on April 7, 1987
Notice To Members 87-23
Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
Notice To Members 87-22
Amendments to Resolution of the Board of Governors Concerning Its Policy on Publication of Disciplinary Actions
Notice To Members 87-24
Request for Comments on Proposed Amendments to Article III, Section 35 of the NASD Rules of Fair Practice
Notice To Members 87-26
NASDAQ National Market System Grows to 2,850 Securities With 12 Voluntary Additions on April 21, 1987
Notice To Members 87-25
Request for Comments and Suggestions on Regulation of Market Making By Affiliates of Issuers
Notice To Members 87-27
NASDAQ National Market System Grows to 2,873 Securities With 19 Voluntary Additions on May 5, 1987, and Four Mandatory Inclusions on May 12, 1987
Notice To Members 87-28
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 87-29
NASDAQ/MSE: Unlisted Trading Privileges
Notice To Members 87-30
NASDAQ National Market System Grows to 2,893 Securities With 21 Voluntary Additions on May 19, 1987
Notice To Members 87-32
Request for Comments on Shareholder Voting Rights Proposal For NASDAQ Companies
Notice To Members 87-33
Forms BD and U-4 Revisions, Government Securities Brokers and Dealers Registration Requirements
Notice To Members 87-34
NASDAQ National Market System Grows to 2,917 Securities With 28 Voluntary Additions on June 2, 1987
Notice To Members 87-31
Mark-Ups and Mark-Downs on Zero-Coupon Securities
Notice To Members 87-35
NASDAQ National Market System Grows to 2,940 Securities With 23 Voluntary Additions on June 16, 1987
Notice To Members 87-36
Split Expiration of Index Options and Futures on June 19, 1987
Notice To Members 87-37
Proposed Amendment to Article I, Section (c) of the NASD By-Laws Relating to the Definition of the Term "Branch Office"
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