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 91-26 | SEC Approval of Amendment Re: Use and Disclosure of Member Names
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| Notice To Members 91-28 | Availability of the Series 17 Limited Registered Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom As NASD General Securities Representatives
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| Notice To Members 91-41 | Department of Treasury Proposes Significant Amendments to the Regulations Issued on July 24, 1987 Under the Government Securities Act of 1986; Last Date for Comments: June 17, 1991
Last Date for Comments: June 17, 1991
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| Notice To Members 91-33 | Request for Comments on Proposed Nonquantitative Designation Criteria for Partnerships Listed on the Nasdaq National Market System; Last Date for Comments: July 1, 1991
Last Date for Comments: July 1, 1991
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| Notice To Members 91-46 | Request for Comments on Exemption for Directly Marketed Mutual Funds From Article III, Section 21(c)(2)(ii) and (iii) of the Rules of Fair Practice Re: Customer Account Information Regarding Employment; Last Date for Comments: July 31, 1991
Last Date for Comments: July 31, 1991
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| Notice To Members 91-38 | Market-Maker Obligations in SelectNet<sup>SM</sup>
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| Notice To Members 91-43 | Independence Day — Trade Date-Settlement Date Schedule
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| Notice To Members 91-35 | Proposed SEC "Penny Stock" Disclosure Rules
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| Notice To Members 91-40 | SEC Approval of Amendment Regarding Disclosure of Contingent Deferred Sales Charges on Confirmations
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| Notice To Members 91-32 | Request for Comments on Compensation Arrangements for Activities of Registered Representatives Who Are Also Registered With the Securities and Exchange Commission as Investment Advisers; Last Date for Comments: July 1, 1991
Last Date for Comments: July 1, 1991
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| Notice To Members 91-37 | Market-Maker Obligations With Regard to Display of Size in Quotations
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| Notice To Members 91-42 | Appointment of SIPC Trustees for Two Firms
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| Notice To Members 91-34 | Request for Comments on Amendments to the Filing Requirements of the Interpretation of the Board of Governors — Review of Corporate Financing; Last Date for Comments: July 1, 1991
Last Date for Comments: July 1, 1991
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| Notice To Members 91-47 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of June 12, 1991
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| Notice To Members 91-39 | Limitations on Use of "Negative Response" Letters in Switching Customers From One Mutual Fund to Another
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| Notice To Members 91-31 | Solicitation of Members' Comments on Proposals to Curb SOES Abuse; Last Date for Comments: June 21, 1991
Last Date for Comments: June 21, 1991
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| Notice To Members 91-44 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of May 13, 1991
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| Notice To Members 91-36 | Adoption of Amendments to SEC Rule 15c2-11 Regarding Initiation or Resumption of Quotations Without Specified Information
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| Notice To Members 91-45 | NASD/NYSE Joint Memo on Chinese Wall Policies and Procedures
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| Notice To Members 91-49 | Proposed New Rule Re: Definition of "Executive Representative" in Article Section 3 of the NASD By-Laws; Last Voting Date: September 25, 1991
Last Voting Date: September 25, 1991
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| Notice To Members 91-54 | Labor Day — Trade Date-Settlement Date Schedule
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| Notice To Members 91-51 | Request for Comments on Proposed Changes to Schedule C to the NASD By-Laws Regarding the Sale of Partnership Debt by Direct Participation Programs Representatives and Principals; Last Date for Comments: September 25, 1991
Last Date for Comments: September 25, 1991
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| Notice To Members 91-48 | Proposed New Rule Re: Definition of Branch Office in Article III, Section 27(g)(2) and (g)(3) of the Rules of Fair Practice; Last Voting Date: September 25, 1991
Last Voting Date: September 25, 1991
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| Notice To Members 91-53 | Misuse of Treasury Form PD 1832, "Special Form of Detached Assignment for United States Registered Securities"
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| Notice To Members 91-50 | NASD Board Authorizes Industry Committee to Design Program to Assure Continuing Qualifications of Securities Industry Professionals
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| Notice To Members 91-55 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of July 24, 1991
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| Notice To Members 91-52 | SEC Approval of Amendments to the Resolution of the Board of Governors — Notice to Membership and Press of Suspensions, Expulsions, Revocations, and Monetary Sanctions Under Article V, Section 1 of the Rules of Fair Practice Regarding the
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| Notice To Members 91-57 | Adoption of Amendments to Interpretation of the Board of Governors — Forwarding Of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice Re: Forwarding of Material on the Issuer's Behalf to Beneficial Owners
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| Notice To Members 91-59 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of August 23, 1991
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| Notice To Members 91-56 | SEC Approval of Amendments to Appendix F Concerning Member Participation in Partnership RoIIups
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| Notice To Members 91-58 | Columbus Day — Trade Date-Settlement Date Schedule
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| Notice To Members 91-65 | Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
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| Notice To Members 91-62 | SEC Approval of Amendments to the NASD Rules of Fair Practice Relating to Options Communications
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| Notice To Members 91-64 | SOES Tier Levels to Change for 487 Issues on October 31, 1991
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| Notice To Members 91-61 | SEC Approval of Amendment to Article VI, Sections 3 and 4 of NASD By-Laws Re: Suspension or Cancellation of Registration for Failure to Pay Fees, Dues, or Other Assessments
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| Notice To Members 91-66 | Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of September 25, 1991
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| Notice To Members 91-63 | SEC Approval of Amendments to the NASD Uniform Practice Code
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| Notice To Members 91-60 | Proposed Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of The NASD By-Laws Regarding Retention of Jurisdiction; Last Voting Date: November 19, 1991
Last Voting Date: November 19, 1991
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| Notice To Members 91-67 | SEC Approves Rules to Curb SOES Abuse
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| Notice To Members 91-73 | Revised Forms U-4 and U-5 Go into Effect
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