Notices

FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pubsort descending Title Description
Apr 1, 1996 Notice to Members 96-31
Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996
Apr 1, 1996 Notice to Members 96-30
Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996
Apr 1, 1996 Notice to Members 96-29
Memorial Day: Trade Date-Settlement Date Schedule
Apr 1, 1996 Notice to Members 96-28
NASD Revises Sanction Guidelines
Apr 1, 1996 Notice to Members 96-27
Significant Disciplinary Actions Prompt Reentry into the Regulatory Element of the Continuing Education Program
Apr 1, 1996 Notice to Members 96-26
SEC Approves Schedule C Changes Regarding Use of the Modified Series 7 to Qualify Canadian Registrants
Effective Date: April 15, 1996
May 1, 1996 Notice to Members 96-35
Mail Vote--NASD Solicits Member Vote on Amendments to the NASD By-Laws to Make By-Laws Consistent with the "Plan of Allocation and Delegation of Functions by NASD to Subsidiaries"; Last Voting Date: June 22, 1996
May 1, 1996 Notice to Members 96-34
Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996
May 1, 1996 Notice to Members 96-33
NASD Clarifies Rules Governing RR/IAs
May 1, 1996 Notice to Members 96-32
Members Reminded to Use Best Practices When Dealing in Speculative Securities
Jun 1, 1996 Notice to Members 96-41
Independence Day: Trade Date--Settlement Date Schedule
Jun 1, 1996 Notice to Members 96-40
SOES Tier Levels Set to Change July 1, 1996
Jun 1, 1996 Notice to Members 96-39
Request for Comments on Proposed Changes to Regulations G, T, and U
Jun 1, 1996 Notice to Members 96-38
Treasury Issues Letter Clarifying Recordkeeping Requirements for Forward Settling Repurchase Agreement Transactions
Jun 1, 1996 Notice to Members 96-37
Fed Approves Amendments to Regulation T
Jun 1, 1996 Notice to Members 96-36
SEC Approves Amendment to the Primary Market-Maker Standards
Jun 1, 1996 Notice to Members 96-42
Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996
Jul 1, 1996 Notice to Members 96-51
Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
Jul 1, 1996 Notice to Members 96-50
Supervisory and Other Obligations Related to Use of Electronic Media
Jul 1, 1996 Notice to Members 96-49
Members Reminded to Report Address, Contact Changes to NASD
Jul 1, 1996 Notice to Members 96-48
New London Training Center; Registered Representatives in England, Scotland, and Wales Must Comply with Continuing Education Requirements
Jul 1, 1996 Notice to Members 96-47
NASD Regulation, Inc., Expanding Computerized Delivery Sites
Jul 1, 1996 Notice to Members 96-46
CRD Disclosure Conversion
Jul 1, 1996 Notice to Members 96-45
NASD Appoints Ombudsman
Jul 1, 1996 Notice to Members 96-44
NASD Interprets NASD Rule 2110 and Files Telemarketing Rule Changes with SEC

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