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 90-74 | Proposed Amendment to Article IV, Section 1 of the NASD Rules of Fair Practice Re: the Suspension of the Membership of Any Member or of the Registration of a Person Associated With a Member for a Definite Period Assessed As a Penalty For a Rule Violation;
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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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| Notice To Members 90-78 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of October 11, 1990
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| Notice To Members 90-83 | Christmas Day and New Year's Day - Trade Date-Settlement Date Schedule
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| Notice To Members 90-80 | SEC Approval of Risk Management Functions of the Automated Confirmation Transaction Service
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| Notice To Members 90-85 | SIPC Trustee Appointed for Carolina First Securities Group
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| Notice To Members 90-82 | Inclusion of Non-SRO Arbitration Forum as an Alternative Forum in Predispute Arbitration Agreements.
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| Notice To Members 90-79 | Receipt of Differential Compensation for Soliciting Proxies in Partnership Roll-Ups; Last Date for Comments: January 15, 1991
Last Date for Comments: January 15, 1991
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| Notice To Members 90-84 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of November 13, 1990
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| Notice To Members 90-81 | Amendments to the Code of Procedure to Change the Disciplinary Process and Provide That Decisions of the National Business Conduct Committee Are Final Actions of the NASD
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| For Your Information - January 1991 | For Your Information
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| Notice To Members 91-6 | Trade Date-Settlement Date Schedule for 1991
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| Notice To Members 91-3 | Implementation of Matching Service in SOES Limit-Order File
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| Notice To Members 91-8 | Annual Check List of NASD Notices to Members
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| Notice To Members 91-5 | NASD 1991 Holiday Schedule
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| Notice To Members 91-2 | Request for Comments From Members, Issuers, and Investors on Nasdaq Short-Sale Rule; Last Date for Comments: March 1, 1991
Last Date for Comments: March 1, 1991
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| Notice To Members 91-7 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of December 12, 1990
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| Notice To Members 91-4 | 1991 Renewal Rosters and Final Adjusted Invoices
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| Notice To Members 91-1 | Proposed Amendments to the NASD Rules of Fair Practice Relating to Options Communications; Last Voting Date: February 4, 1991
Last Voting Date: February 4, 1991
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| Notice To Members 91-14 | Presidents' Day — Trade Date-Settlement Date Schedule
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| Notice To Members 91-11 | SEC Approval of Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events
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| Notice To Members 91-13 | NASD Charges for Reviewing Advertisements and Sales Literature
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| Notice To Members 91-10 | Revised Entry and Annual Fees for Nasdaq Issuers — Approval of Amendments to Schedule D
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| Notice To Members 91-15 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of January 11, 1991
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| Notice To Members 91-12 | Board of Governors' Approval of Service Charges for SelectNet and SOES
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| Notice To Members 91-9 | Request for Comments From Members on Proposed Changes to the Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws; Last Date for Comments: April 1, 1991
Last Date for Comments: April 1, 1991
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| Notice To Members 91-16 | New Statutory Disqualification Categories; Notice to NASD Required No Later Than April 30, 1991
Notice to NASD Required No Later Than April 30, 1991
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| Notice To Members 91-18 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of February 8, 1991
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| Notice To Members 91-17 | Good Friday — Trade Date-Settlement Date Schedule
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| Notice To Members 91-22 | SOES Tier Levels to Change for 417 Issues on April 15, 1991
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| Notice To Members 91-19 | Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice Regarding the Suspension of the Membership of Any Member or of the Registration Of a Person Associated With a Member for a Definite Period Assessed as a Sanction For a
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| Notice To Members 91-21 | Amendments to Schedule H Eliminating the Price and Volume Reporting Thresholds, And Expanding the Definition of Non-Nasdaq Security
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| Notice To Members 91-23 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of March 13, 1991
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| Notice To Members 91-20 | Adoption of Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital
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| Notice To Members 91-30 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of April 12, 1991
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| Notice To Members 91-27 | SEC Approval of 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
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| Notice To Members 91-24 | Proposed New Rule Re: Suspension or Cancelation of Registration for Failure to Pay Fees, Dues, or Other Assessments; Last Voting Date: June 4, 1991
Last Voting Date: June 4, 1991
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| Notice To Members 91-29 | Memorial Day — Trade Date-Settlement Date Schedule
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| Notice To Members 91-26 | SEC Approval of Amendment Re: Use and Disclosure of Member Names
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