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 93-34 | Nasdaq National Market(r) Additions, Changes, And Deletions as of April 23, 1993
|
|
| Notice To Members 93-31 | SEC Requests Comments on Proposal To Establish Three-Business-Day Settlement For Securities Transactions
|
|
| Notice To Members 93-33 | The Role of the NASD's Disciplinary Committees
|
|
| Notice To Members 93-30 | NASD Provides SEC-Approved Clarifications and Interpretations to Recent Net Capital Rule Amendments
|
|
| Notice To Members 93-32 | NASD Publishes Sanction Guidelines To Familiarize Members With Major Violations And Penalties
|
|
| Notice To Members 93-37 | NASD<sup>®</sup> Expands the Public Disclosure Program
|
|
| Notice To Members 93-39 | Nasdaq National Market(r) Additions, Changes, And Deletions as of May 24, 1993
|
|
| Notice To Members 93-36 | Codification of Investment Company Advertising Guidelines
|
|
| Notice To Members 93-38 | Independence Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 93-35 | Mail Vote — Proposed Amendment to the Procedures for Filling Vacancies on NASD<sup>®</sup> Nominating Committees;
|
|
| Notice To Members 93-40 | Request for Comments on Proposed Amendments to the Free-Riding and Withholding Interpretation Under Article III, Section 1 of the Rules of Fair Practice
|
|
| Notice To Members 93-45 | SEC Approves Mandatory Book-Entry Settlement of Transactions in Depository-Eligible Securities
|
|
| Notice To Members 93-42 | SEC Approves NASD's Minor Rule Violations Plan
|
|
| Notice To Members 93-47 | SEC Permits Use of Optical Storage Technology for Records Retention
|
|
| Notice To Members 93-44 | SEC Approves Increase In Non-Cash Sales Incentive Compensation
|
|
| Notice To Members 93-49 | Solicitation of Member Comment on Board Action to Eliminate the Disclosure Safe Harbor for Customer Limit Orders;
|
|
| Notice To Members 93-41 | SEC Approves Schedule D Amendments Permitting Excused Withdrawal or Passive Market-Making Status for Distribution Participants That Are Nasdaq Market Makers
|
|
| Notice To Members 93-46 | SEC Provides Additional Clarifications and Interpretations to Net Capital Rule Amendments
|
|
| Notice To Members 93-43 | SEC Approves Modified Excess Spread Parameters for Market Makers
|
|
| Notice To Members 93-48 | Nasdaq National Market(r) Additions, Changes, And Deletions
|
|
| Notice To Members 93-53 | SEC Approves Amendments Relating to Close Outs of Short Sales and Bona Fide Fully Hedged or Arbitraged Positions
|
|
| Notice To Members 93-58 | NASD Member Buying Services Provides Members With Discounted Products And Services
|
|
| Notice To Members 93-50 | Mail Vote — Proposed New Section to the Rules of Fair Practice Relating to the Respective Obligations And Supervisory Responsibilities of Introducing and Clearing Firms;
|
|
| Notice To Members 93-55 | SEC Amends and Clarifies Penny Stock Rules
|
|
| Notice To Members 93-60 | Nasdaq National Market(r) Additions, Changes, And Deletions as of July 22, 1993
|
|
| Notice To Members 93-52 | Mail Vote — Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
|
|
| Notice To Members 93-57 | SOES Tier Levels Set to Change for 517 Issues On September 1, 1993
|
|
| Notice To Members 93-54 | SEC Approves Quotation-Size Requirements for Market Makers in OTC Equity Securities
|
|
| Notice To Members 93-59 | Labor Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 93-51 | Mail Vote — Proposed Amendment to the Corporate Financing Rule Relating to Fairness and Reasonableness of Anti-Dilution Provisions in Underwriters' Warrants', Options, and Convertible Securities;
|
|
| Notice To Members 93-56 | Quotation and Trade-Reporting Requirements For Members Dealing in High-Yield Bonds
|
|
| Notice To Members 93-61 | Mail Vote — NASD Solicits Member Vote on New Rule Governing the Pricing of Open Orders;
|
|
| Notice To Members 93-66 | Nasdaq National Market(r) Additions, Changes, And Deletions as of August 24, 1993
|
|
| Notice To Members 93-63 | SEC Approves Changes To Make All Arbitration Awards Publicly Available: Effective October 1, 1993
|
|
| Notice To Members 93-65 | Columbus Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 93-62 | Requirements Governing Real-Time Trade Reporting in Over-the-Counter Equity Securities
|
|
| Notice To Members 93-64 | SEC Approves Amendments Concerning Arbitration of Employment-Related Disputes: Effective October 1, 1993
|
|
| Notice To Members 93-69 | Broker/Dealer and Agent Renewals for 1993-94
|
|
| Notice To Members 93-74 | Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 93-71 | SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking
Seeks Comments for Proposed Rulemaking
|