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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 92-43
Labor Day — Trade Date-Settlement Date Schedule
Notice To Members 92-45
SEC Adopts Temporary Risk Assessment Rules
Notice To Members 92-42
Penny Stock Risk Disclosure Document
Notice To Members 92-44
Appointment of a SIPC Trustee for Two Firms
Notice To Members 92-38
SEC Adoption of Penny-Stock Disclosure Rules Under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990
Notice To Members 92-40
Nasdaq National Market Additions, Changes, and Deletions as of June 26, 1992
Notice To Members 92-37
Proposed Amendment to Article III, Section 21 of the Rules of Fair Practice to Require Predispute Arbitration Agreements to Include a Notice That Class-Action Matters May Not Be Arbitrated; Last Voting Date: August 21, 1992
Last Voting Date: August 21, 1992
Notice To Members 92-39
Confirmation Disclosure Requirements for Transactions in Nasdaq Small-Cap Stocks
Notice To Members 92-36
Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice And Section 8 of the NASD's Government Securities Rules to Require Members to Prefile Advertisements for Collateralized Mortgage Obligations; Last Voting Date: Aug
Last Voting Date: Aug
Notice To Members 92-33
Providing of Proxy Voting Advice to Customers
Notice To Members 92-30
Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992
Last Voting Date: July 22, 1992
Notice To Members 92-35
Nasdaq National Market Additions, Changes, and Deletions as of May 27, 1992
Notice To Members 92-32
Request for Comments on Proposed Amendment to the Rules of Fair Practice Relating to the Respective Obligations and Supervisory Responsibilities of Introducing and Clearing Firms; Last Date for Comments: July 22, 1992
Last Date for Comments: July 22, 1992
Notice To Members 92-34
Independence Day — Trade Date-Settlement Date Schedule
Notice To Members 92-31
SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons
Notice To Members 92-25
Proposed Amendment to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption for Negative-Response Letters Used to Facilitate Certain Bulk Exchanges of Money Market Mutual Funds
Notice To Members 92-27
Advertising of Collateralized Mortgage Obligations by NASD Members
Notice To Members 92-29
Nasdaq National Market Additions, Changes, and Deletions as of April 21, 1992
Notice To Members 92-26
SEC Approval of Trade Reporting for Regular Nasdaq Securities
Notice To Members 92-28
SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters
Notice To Members 92-17
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 Proxy Material on the Request of Stockholders
Notice To Members 92-22
Appointment of SIPC Trustees for Four Firms
Notice To Members 92-19
Retention of Jurisdiction; SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice
SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice
Notice To Members 92-24
Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992
Notice To Members 92-16
NASD Policies and Procedures for Markups/Markdowns in Equity Securities
Notice To Members 92-21
SOES Tier Levels to Change for 431 Issues on May 4, 1992
Notice To Members 92-18
SEC Approval of Amendments to the Definition of the Term "Branch Office" in Article III, Section 27 of the Rules of Fair Practice
Notice To Members 92-23
Memorial Day — Trade Date-Settlement Date Schedule
Notice To Members 92-20
Sale of Direct Participation Program Debt Instruments by Limited Principals and Representatives; SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
Notice To Members 92-14
Good Friday — Trade Date-Settlement Date Schedule
Notice To Members 92-15
Nasdaq National Market Additions, Changes, and Deletions as of February 24, 1992
Notice To Members 92-9
NASD/NYSE Special Alert Regarding Previously Cancelled Securities
Notice To Members 92-11
Fees and Charges for Services
Notice To Members 92-13
Nasdaq National Market Additions, Changes, and Deletions as of January 27, 1992
Notice To Members 92-10
Approval of Amendments to Article III, Section 3 of the NASD By-Laws Regarding NASD Member Requirement to Appoint One Executive Representative Responsible For Voting and Acting for the Member in All Affairs Relating to the NASD
Notice To Members 92-12
SIPC Trustees Appointed for Two Securities Firms
Notice To Members 92-8
Proposed Amendment to Rules of Fair Practice, Article III, New Section 46: Short-Sale Rule for Nasdaq/NMS Securities and New Section 47: Primary Nasdaq Market Makers; Last Voting Date: March 13, 1992
Last Voting Date: March 13, 1992
Notice To Members 92-1
Proposed Amendment to Article VI, Section 3 of the By-Laws to Extend the NASD's Summary Suspension Procedures to Situations Where Members or Associated Persons Fail to Comply with Arbitration Awards; Last Voting Date: February 18, 1992
Last Voting Date: February 18, 1992
Notice To Members 92-6
Presidents' Day — Trade Date-Settlement Date Schedule
Notice To Members 92-3
1992 Renewal Rosters and Final Adjusted Invoices
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