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
Feb 1, 1998 Notice to Members 98-20
Treasury Updates List of Specially Designated Persons and Entities
Feb 1, 1998 Notice to Members 98-19
SEC Requests Comment on Proposed Amendments to Net Capital Rule
Feb 1, 1998 Notice to Members 98-18
NASD Regulation Permits Electronic Methods for Holding Annual Interviews or Meetings with Registered Representatives
Mar 1, 1998 Notice to Members 98-34
SEC Requests Comment on Amendments to Rule 17a-5 Requiring Reports on Year 2000 Preparedness
Mar 1, 1998 Notice to Members 98-33
SEC Approves New Order Audit Trail System (OATS)
Mar 1, 1998 Notice to Members FYI March 1998
For Your Information
Mar 1, 1998 Notice to Members 98-32
Good Friday: Trade Date -- Settlement Date Schedule
Mar 1, 1998 Notice to Members 98-31
Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 1998
Mar 1, 1998 Notice to Members 98-30
NASD Office of the Ombudsman Clarifies Its Role
Mar 1, 1998 Notice to Members 98-29
SOES Tier-Size Levels Set to Change April 1, 1998
Mar 1, 1998 Notice to Members 98-28
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Mar 1, 1998 Notice to Members 98-27
Interim Forms U-4 and U-5 Go Into Effect; Interim Form BD Also Approved
Apr 1, 1998 Notice to Members FYI April 1998
For Your Information
Apr 1, 1998 Notice to Members 98-37
Memorial Day: Trade Date -- Settlement Date Schedule
Apr 1, 1998 Notice to Members 98-36
Fixed Income Pricing System Additions, Changes, and Deletions as of March 25, 1998
Apr 1, 1998 Notice to Members 98-35
SEC Approves Changes to Continuing Education Rules
May 1, 1998 Notice to Members FYI May 1998
For Your Information
May 1, 1998 Notice to Members 98-41
Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1998
May 1, 1998 Notice to Members 98-40
Nasdaq to Incorporate Trade Acceptance and Reconciliation Service into Automated Confirmation Transaction Service
May 1, 1998 Notice to Members 98-39
NASD Revises Sanction Guidelines
May 1, 1998 Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Jun 1, 1998 Notice to Members 98-43
Federal Reserve System Amends Regulations T, U, and X
Jun 1, 1998 Notice to Members 98-42
NASD Requests Comment on Proposed Rules Regarding Cease-and-Desist Proceedings
Comment Period Expired July 31, 1998
Jun 1, 1998 Notice to Members FYI June 1998
For Your Information
Jun 1, 1998 Notice to Members 98-46
Independence Day: Trade Date -- Settlement Date Schedule

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