Skip to main content

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 89-31
NASDAQ National Market System Additions, Changes, and Deletions as of February 10, 1989
Notice To Members 89-23
Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees Deadline for Voting: April 3, 1989
For Your Information - March 1989
For Your Information (March)
Notice To Members 89-28
Approval and Immediate Effectiveness of Amendment to Definition of ";Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Notice To Members 89-25
SIPC Reimposes Assessments Based on a Percentage of Gross Revenue
Notice To Members 89-20
Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989
Notice To Members 89-14
SEC Approves Amendments to Rule 17f-1, Lost and Stolen Securities Program
For Your Information - February 1989
For Your Information (February)
Notice To Members 89-19
NASDAQ National Market System Additions, Changes, and Deletions as of January 12, 1989
Notice To Members 89-11
SEC Approval of Rule Amendment Requiring Filing of Advertising and Sales Literature for Investment Company Securities — Effective March 1, 1989
Notice To Members 89-16
Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs — Effective February 1, 1989
Notice To Members 89-13
Access to Disciplinary Information on Prospective Employees
Notice To Members 89-18
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 89-15
Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations — Effective December 20, 1988
Notice To Members 89-12
Reporting Suspicious Currency and Other Questionable Transactions To the IRS/Customs Hotline
Notice To Members 89-17
Adoption of Rule Amendments Mandating the Automated Submission Of Trading Data Technical Specifications
Notice To Members 89-6
State Participation in CRD Form BD and BDW Processing
Notice To Members 89-3
Proposed Rule to Restrict Payment of Referral Fees by NASD Members; Last Date for Comments: February 3, 1989
Last Date for Comments: February 3, 1989
Notice To Members 89-8
NASD 1989 Holiday Schedule
Notice To Members 89-5
Insider Trading and Securities Fraud Enforcement Act of 1988
For Your Information (January)
For Your Information (January)
Notice To Members 89-10
NASDAQ National Market System Additions, Changes, and Deletions As of December 13, 1988
Notice To Members 89-2
Proposed New Rule Regarding Business Conduct of Members; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
Notice To Members 89-7
1989 Renewal Rosters and Final Adjusted Invoices
Notice To Members 89-4
Proposed Mandatory Participation by Clearing Members in Reconfirmation and Pricing Services (RECAPS); Last Date for Comment: February 3, 1989
Last Date for Comment: February 3, 1989
Notice To Members 89-9
Trade Date-Settlement Date Schedule for 1989
Notice To Members 89-1
Proposed By-Laws Amendment on Filling Vacancies on District Committees; Last Voting Date: February 3, 1989
Last Voting Date: February 3, 1989
Notice To Members 88-104
Adoption of Rule Amendments Mandating the Automated Submission of Trading Data - Effective February 12, 1989
Notice To Members 88-103
Adoption of Rule Amendments - Effective Immediately Professional Trading in SOES
Notice To Members 88-102
NASDAQ National Market System Additions as of November 21, 1988
Notice To Members 88-99
Trade Date-Settlement Date Schedule: Christmas Day, New Year's Day, and Martin Luther King, Jr. Day
Notice To Members 88-96
SEC Approval of Amendments to NASD By-Laws and Rules of Fair Practice And New Government Securities Rules
Notice To Members 88-101
Clarification of NASD Filing Requirements and Review Procedures for Offerings Made Pursuant to SEC Rule 415
Notice To Members 88-98
Proposed Amendment to Schedule E Re: Exemption From the Pricing Requirements For Shelf Offerings to Institutional Investors
Notice To Members 88-95
SEC Approval of Amendment to NASD Rules of Fair Practice Re: Prompt Payment for Investment Company Shares — Effective Date: January 1, 1988
Notice To Members 88-100
Mergers by Members With Blind-Pool Companies
Notice To Members 88-97
Implementation of the Form U-4 Disclosure Reporting Page (DRP) Effective Immediately
Notice To Members 88-94
NASDAQ National Market System Additions as of October 18, 1988
Notice To Members 88-86
Approval and Immediate Effectiveness of Article III, Section 43 of the NASD Rules of Fair Practice Regarding Outside Business Activities
Notice To Members 88-91
Proposed Amendment to Article III, Section 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Date for Comments: December 1, 1988
Last Date for Comments: December 1, 1988
4 5 A B C D E F G H I L M N O P Q R S T U V W

4