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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 92-5
Annual Check List of NASD Notices to Members
Notice To Members 92-4
Revision to the Investment Company Products/Variable Contracts Limited Principal Examination (Series 26)
Notice To Members 92-3
1992 Renewal Rosters and Final Adjusted Invoices
Notice To Members 92-2
SEC Approval of Amendments to Schedule C of the NASD By-Laws Relating to Applications for Membership
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 91-85
Nasdaq National Market Additions, Changes, and Deletions as of November 25, 1991
Notice To Members 91-84
Trade Date-Settlement Date Schedule for 1992
Notice To Members 91-83
NASD 1992 Holiday Schedule
Notice To Members 91-82
Proposed Revision of NASD Manual
Notice To Members 91-81
Reporting Information on Form BD
Notice To Members 91-80
Request for Comments on Proposed Amendments to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption from the Rule for Negative Comment Letters Used in Certain Bulk Exchanges of Money Market Mutual Funds; Last Date For Comments
Last Date For Comments
Notice To Members 91-79
Request for Comments on Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) And Proposed Amendments to the NASD Rules of Fair Practice to Incorporate Items From the Gu
Notice To Members 91-78
Request for Comments on Member Participation in Partnership Rollups and Listing of Securities Resulting from Rollups on Nasdaq/NMS; Last Date for Comments: February 1, 1992
Last Date for Comments: February 1, 1992
Notice To Members 91-77
Nasdaq National Market Additions, Changes, and Deletions as of October 23, 1991
Notice To Members 91-76
Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
Notice To Members 91-75
Appointment of SIPC Trustee for Three Firms
Notice To Members 91-74
Replacement of Certificates of Deposit by Bond Mutual Funds
Notice To Members 91-73
Revised Forms U-4 and U-5 Go into Effect
Notice To Members 91-72
Enhancements to the Firm Access Query System (FAQS)
Notice To Members 91-71
Subject: Broker/Dealer and Agent Renewals for 1991-92
Notice To Members 91-70
SEC Approval and Startup of Nasdaq International<sup>SM</sup> Service
Notice To Members 91-69
Application of NASD Rules, Interpretations, By-Laws, and Federal Securities Laws to the Secondary Market in Direct Participation Program Interests
Notice To Members 91-68
Proposed Amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Contracts; Last Voting Date:
Last Voting Date:
Notice To Members 91-67
SEC Approves Rules to Curb SOES Abuse
Notice To Members 91-66
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of September 25, 1991
Notice To Members 91-65
Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
Notice To Members 91-64
SOES Tier Levels to Change for 487 Issues on October 31, 1991
Notice To Members 91-63
SEC Approval of Amendments to the NASD Uniform Practice Code
Notice To Members 91-62
SEC Approval of Amendments to the NASD Rules of Fair Practice Relating to Options Communications
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
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
Notice To Members 91-59
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of August 23, 1991
Notice To Members 91-58
Columbus Day — Trade Date-Settlement Date Schedule
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
Notice To Members 91-56
SEC Approval of Amendments to Appendix F Concerning Member Participation in Partnership RoIIups
Notice To Members 91-55
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of July 24, 1991
Notice To Members 91-54
Labor Day — Trade Date-Settlement Date Schedule
Notice To Members 91-53
Misuse of Treasury Form PD 1832, "Special Form of Detached Assignment for United States Registered Securities"
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
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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