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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 89-40
Proposed Amendment to Code of Procedure Re: Summary Remedial Proceedings; Last Date for Comments: June 1, 1989
Last Date for Comments: June 1, 1989
Notice To Members 89-42
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 89-39
Proposed New Rule Re: Handling Customer Limit Orders Last Voting Date: June 1, 1989
Notice To Members 89-46
NASDAQ National Market System Additions, Changes, and Deletions As of May 15, 1989
Notice To Members 89-45
Independence Day Trade Date-Settlement Date Schedule
For Your Information - June 1989
For Your Information (June)
Notice To Members 89-44
Amendment to Uniform Practice Code Re: Mandatory Buy-Ins for Cash or Guaranteed Delivery, Effective June 1, 1989
Notice To Members 89-49
SEC Approval of Amendment to Schedule C of NASD By-Laws to Require Members To Submit Applications for and Maintain the Registration of Only Such Persons Who Intend to Engage or Are Engaged in the Investment Banking or Securities Business For the Member
Notice To Members 89-51
Proposed Amendments to Article III, Section 26, of the NASD Rules of Fair Practice Re: Cash and Noncash Concessions in Connection with the Retail Sale of Investment-Company Securities — Last Date for Comments: August 4, 1989
For Your Information - July 1989
For Your Information (July)
Notice To Members 89-48
All Non-NASDAQ OTC Securities Are Subject To Price And Volume Reporting Effective September 1, 1989
Notice To Members 89-53
NASDAQ National Market Additions, Changes, and Deletions as of June 14, 1989
Notice To Members 89-50
NASD Initiates Computerized Extension Request Service for Regulation T And SEC Rule 15c3-3; New Form Required
New Form Required
Notice To Members 89-47
Notice to Membership of Disciplinary Actions; Publication of Sanctions; Availability of NASD Manual; Last Voting Date: August 11, 1989
Publication of Sanctions; Availability of NASD Manual; Last Voting Date: August 11, 1989
Notice To Members 89-52
SEC Approval of Amendment to Schedule C of By-Laws to Establish Waiting Periods Between Attempts to Pass Qualification Examinations — Effective July 17, 1989
Notice To Members 89-54
Correction to Notice to Members 89-48 — All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective August 1, 1989
Notice To Members 89-57
SEC Approval of By-Law and Rule of Fair Practice Amendments on Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees — Effective September 1, 1989
Notice To Members 89-59
Report on Group of Thirty Recommendations Regarding Clearance and Settlement and Request for Comments
Notice To Members 89-56
Proposed Amendments To Nasd Uniform Practice Code Re: Mandatory Buy-In for Short Sales; Last Date for Comments: September 1, 1989
Last Date for Comments: September 1, 1989
Notice To Members 89-61
NASDAQ National Market Additions, Changes, and Deletions as of July 12, 1989
Notice To Members 89-58
Amendment Re: Predispute Arbitration Clauses in Customer Agreements
Notice To Members 89-55
Proposed Amendments to the NASD Uniform Practice Code Re: Clearly Erroneous Trades; and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances; Last Date for Comments: September 1, 1989
and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances; Last Date for Comments: September 1, 1989
Notice To Members 89-60
Labor Day Trade Date-Settlement Date Schedule
For Your Information - September 1989
For Your Information
Notice To Members 89-62
Columbus Day Trade Date-Settlement Date Schedule
Notice To Members 89-63
NASDAQ National Market Additions, Changes, and Deletions as of August 11, 1989
Notice To Members 89-65
SEC Adoption of Rule 15c2-6 Re: Sales Practice and Suitability Requirements for Certain Low-Priced Securities
Notice To Members 89-67
SOES Tier Levels to Change for 521 Issues on October 9, 1989
Notice To Members 89-64
SEC Approval of Rule of Fair Practice Amendment Re: The Conduct of Accounts Engaged in Uncovered Short Option Transactions
For Your Information - October 1989
For Your Information (October)
Notice To Members 89-66
Size of "Normal" Unit of Trading For NASDAQ-Listed Debentures
Notice To Members 89-68
Nasdaq National Market Additions, Changes, and Deletions as of September 14, 1989
Notice To Members 89-69
SEC Proposes Significant Amendments to the Net Capital Rule; Last Date for Comments: December 18, 1989
Last Date for Comments: December 18, 1989
Notice To Members 89-73
Revisions to Certain NASD Qualification Examinations
Notice To Members 89-70
Automated Submission of Trading Data
For Your Information - November 1989
For Your Information (November)
Notice To Members 89-75
NASDAQ National Market Additions, Changes, and Deletions as of October 12, 1989
Notice To Members 89-72
Broker-Dealer and Agent Renewals for 1989-90
Notice To Members 89-74
Thanksgiving Day: Trade Date-Settlement Date Schedule
Notice To Members 89-71
SEC Approval of Amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice on Notice to Membership of Disciplinary Actions, Publication of <em>Sanctions, and Availability of NASD Manual</em> — Effective September 19, 1989
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