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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 88-31
Proposed Amendments to Article V, Section 1 of the NASD Rules of Fair Practice and Section 12(2) of the Proposed Government Securities Rules: Removal of Fine Limitations
Notice To Members 88-32
Amendment to the NASD Board of Governors' Corporate Financing Interpretation Regarding Public Offerings When Proceeds Are Directed to NASD Members
Notice To Members 88-35
NASDAQ National Market System Totals 2,945 Securities With Seven Additions on May 17, 1988
Notice To Members 88-34
Adoption of New Section 67 of the NASD Uniform Practice Code Regarding Delayed Closings Effective June 12, 1988
Notice To Members 88-33
Adoption of Amendments to Schedule E to the NASD By-Laws Effective Immediately
Notice To Members 88-36
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 88-37
Operations Officer, Cashier, Fail-Control Department
Notice To Members 88-38
SEC Approves New Category of Limited Representative Registration — Corporate Securities Examination (Series 62); Study Outline Available
Study Outline Available
Notice To Members 88-40
Adoption of New Schedule H to the NASD By-Laws and Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice.
Notice To Members 88-39
NASDAQ National Market System Totals 2,950 Securities With 10 Additions on June 7, 1988
Notice To Members 88-41
Independence Day Trade Date-Settlement Date Schedule
Notice To Members 88-42
NASDAQ National Market System Advances to 2,954 Securities With 14 Additions on June 21, 1988
Notice To Members 88-43
Adoption of Amendments to the Rules of Practice and Procedures for the NASD Small Order Execution System and to Schedule D to the NASD By-Laws, Effective June 30, 1988
Notice To Members 88-51
Registration of Foreign Branch Offices by August 1, 1988
Notice To Members 88-48
Proposed By-Laws Amendment Concerning Filling Vacancies on District Committees - Last Date for Comment: August 1, 1988
Notice To Members 88-53
SiPC Trustee Appointed: Fitzgerald, DeArman & Roberts, Inc., 6400 South Lewis, Tulsa, Oklahoma 74170
Notice To Members 88-45
Proposed New Rule: Outside Business Activities-Last Voting Date: August 1, 1988
Notice To Members 88-50
Registration of Persons Soliciting on Behalf of Members Under Schedule C of the NASD By-Laws.
Notice To Members 88-47
Proposed Amendment: Short Sales-Last Date for Comment: August 1, 1988
Notice To Members 88-52
Amendment to Rule: Testimonial Advertisements.
Notice To Members 88-44
Proposed Rule Amendments: Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office" Conforming Amendment To By-Laws-Last Voting Date: August 1, 1988
Notice To Members 88-49
By-Law Amendment: Prohibition of Concurrent Registration Under Schedule C; Last Date for Comment: August 1, 1988
Last Date for Comment: August 1, 1988
Notice To Members 88-54
Implementation of Reporting Requirements for Non-NASDAQ OTC Securities; Effective September 1, 1988
Effective September 1, 1988
Notice To Members 88-46
Adoption of Rule Amendment to Authorize Trading Halts in NASDAQ Securities.
Notice To Members 88-59
Labor Day Trade Date-Settlement Date Schedule
Notice To Members 88-56
Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD
State Pilot for Broker-Dealer Phase of CRD
Notice To Members 88-58
September First-Saturday Exam Session Changed
Notice To Members 88-55
Correction to Notice to Members 88-55
Notice To Members 88-60
Quarterly Check List of NASD Notices to Members
Notice To Members 88-57
NASDAQ National Market System Additions as of July 22, 1988
Notice To Members 88-61
Interpretations - Effective Immediately - of SOES Rules Regarding Compliance With Maximum Order Size Restrictions.
Notice To Members 88-67
Obligation to Provide Accurate Information on Forms U-4 and U-5 and to Research Potential Employee's Background
Notice To Members 88-72
Proposed Amendment to Definition of "Bona Fide Research" - Last Voting Date: November 3, 1988
Notice To Members 88-64
Proposed Amendment Regarding Filing of Advertising and Sales Literature for Investment Company Securities; Deadline for Voting: October 3, 1988
Deadline for Voting: October 3, 1988
Notice To Members 88-69
Documentation for Excused Withdrawal Under Schedule D of By-Laws
Notice To Members 88-66
Test Center Change for Houston Series 7 Exam in September
Notice To Members 88-71
NASDAQ National Market System Additions as of August 19, 1988
Notice To Members 88-63
New Requirements - Effective Immediately - Re Issuing Companies' Notification of NASD Regarding Material News
Notice To Members 88-68
Proposed Amendment Re Providing Terminated Employee with Form U-5 and Obtaining Prior Form U-5 for Potential Employees; Comment by October 1, 1988
Comment by October 1, 1988
Notice To Members 88-65
Proposed Amendment: Use and Disclosure of Member Names; Last Date for Comment: October 3, 1988
Last Date for Comment: October 3, 1988
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