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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 85-53
NASDAQ National Market System Grows to 2,091 Securities With 22 Voluntary Additions on August 20, 1985
Notice To Members 85-54
Proposed New Rule of Fair Practice Relating to Private Securities Transactions
Notice To Members 85-55
Labor Day: Trade Date — Settlement Date Schedule
Notice To Members 85-56
Donald E. Sheldon & Co., Inc. One Wall Street New York, New York 10005
Notice To Members 85-57
NASDAQ National Market System Grows to 2,111 Securities With 24 Voluntary Additions on September 3, 1985
Notice To Members 85-58
Request for Comments on a Proposed New Rule Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
Notice To Members 85-59
Effectiveness of Amendment to the Uniform Practice Code to Require Prompt Settlement of Syndicate Accounts
Notice To Members 85-61
Cross-Lien Agreements with Clearing Entities
Notice To Members 85-60
Collins Securities Corporation 400 Tower Building Fourth & Center Streets Little Rock, Arkansas 72201
Notice To Members 85-62
NASDAQ National Market System Grows to 2,118 Securities With 21 Voluntary Additions on September 17, 1985
Notice To Members 85-63
Trade Date — Settlement Date Schedule for October and Early November
Notice To Members 85-64
NASDAQ National Market System Grows to 2,143 Securities With 31 Voluntary Additions on October 1, 1985
Notice To Members 85-65
R. H. Stewart & Co., Inc. 1975 E. Sunrise Blvd., #817 Fort Lauderdale, Florida 33304
Notice To Members 85-66
Quarterly Checklist of Notices to Members
Notice To Members 85-67
TK Securities, Inc. 1450 North Dixie Highway Fort Lauderdale, Florida 33304
Notice To Members 85-68
NASDAQ National Market System Grows to 2,149 Securities With 14 Voluntary Additions on October 15, 1985
Notice To Members 85-69
Request for Comments on Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice Concerning Advertising and Sales Literature for Direct Participation Programs
Notice To Members 85-70
REVISED Trade Date — Settlement Date Schedule for Early November
Notice To Members 85-71
NASDAQ National Market System Grows to 2,163 Securities With 19 Voluntary Additions on November 5, 1985, and 1 Mandatory Inclusion on November 12, 1985
Notice To Members 85-72
Trade Reporting Rule Changes for NASDAQ Equity Audit Trail — Phase II
Notice To Members 85-73
Beacon Securities, Inc. P.O. Box 5969 Hilton Head Island, South Carolina 29938
Notice To Members 85-74
Thanksgiving Day: Trade Date — Settlement Date Schedule
Notice To Members 85-75
Amendments to SEC Rule 15c3-3, Customer Protection Rule
Notice To Members 85-76
NASDAQ National Market System Grows to 2,172 Securities With 18 Voluntary Additions on November 19, 1985
Notice To Members 85-77
NASD Actions in the Area of Short Sale Regulation
Notice To Members 85-78
NASDAQ National Market System Grows to 2,183 Securities With 23 Voluntary Additions on December 3, 1985
Notice To Members 85-79
1986 Schedule of Holidays
Notice To Members 85-80
Final Rules Regarding the Securities and Exchange Commission's Direct Shareholder Communication Program
Notice To Members 85-81
Request for Comments on Proposed Exemption from Free-Riding Interpretation for Conversions of Savings and Loan Associations
Notice To Members 85-82
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 85-83
NASDAQ National Market System Grows to 2,194 Securities With 16 Voluntary Additions on December 17, 1985
Notice To Members 85-84
New Rule of Fair Practice Relating to Private Securities Transactions
Notice To Members 85-85
Martin Luther King, Jr.'s Day; Trade Date — Settlement Date Schedule
Trade Date — Settlement Date Schedule
Notice To Members 85-87
Request for Comments on Amendments Concerning Short Sales
Notice To Members 85-86
Request for Further Comments on a Proposed New Rule Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
Notice To Members 85-88
NASDAQ National Market System Grows to 2,214 Securities With 29 Voluntary Additions on January 7, 1986
Notice To Members 85-89
Adoption of New Rule of Fair Practice Relating to Permission for Members to Alter Their Methods of Operation Under SEC Rule 15c3-3 (the "Customer Protection Rule")
Notice To Members 86-1
Amendments to Venture Capital Restrictions Effective
Notice To Members 86-2
Quarterly Checklist of Notices Interested Persons
Notice To Members 86-3
NASDAQ National Market System Grows to 2,218 Securities With 16 Voluntary Additions on January 21, 1986
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