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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 88-11
Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
Notice To Members 88-10
Relocation of NASD New York Offices
Notice To Members 88-9
NASDAQ National Market System Totals 3,040 Securities With Six Additions on February 2, 1988
Notice To Members 88-8
Request for Comments on Proposed New Section 3 to Article VII and an Amendment to Article XI, Section 4 of the NASD By-Laws
Notice To Members 88-7
Year-End Check List of NASD Notices to Members
Notice To Members 88-6
SEC Approves NASD New Order Confirmation Transaction (OCT) Service
Notice To Members 88-5
Request for Comments on Proposed NASD Rule of Fair Practice Regarding Outside Business Activities
Notice To Members 88-4
NASDAQ National Market System Totals 3,040 Securities With Four Additions on January 19, 1988
Notice To Members 88-3
Amendment to Section 64 of the NASD Uniform Practice Code Regarding Acceptance and Settlement of COD Orders, Effective February 11, 1988
Notice To Members 88-2
Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule
Notice To Members 88-1
Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules
Notice To Members 87-88
Request for Comments on Proposed Amendments to Section 66 of the NASD Uniform Practice Code Regarding Syndicate Expense Statements and Prompt Settlement of Commissions
Notice To Members 87-80
NASDAQ National Market System Totals 3,068 Securities With 2 Additions on December 1, 1987
Notice To Members 87-87
Request for Comments on Proposed Amendments to Schedule E to the NASD By-Laws Regarding the Definition of a Qualified Independent Underwriter
Notice To Members 87-86
NASDAQ National Market System Totals 3,052 Securities With Four Additions on January 5, 1988
Notice To Members 87-85
SEC Approves Revised Rules for Reporting NASDAQ/NMS Trades Executed Between 4 p.m. and 5 p.m. Under Schedule D to the NASD By-Laws
Notice To Members 87-84
Annual State, Agent, and Broker-Dealer Renewals for 1988
Notice To Members 87-83
Member Comment on NASD Proposals
Notice To Members 87-82
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 87-81
NASDAQ National Market System Totals 3,066 Securities With 5 Additions on December 15, 1987
Notice To Members 87-79
Request for Comments on Proposed New NASD By-Law Authorizing Mandatory Reporting of Trade Comparison Information
Notice To Members 87-78
1988 Schedule of Holidays
Notice To Members 87-77
Request for Comments on Proposed Amendments to the Rules of Practice and Procedures for the NASD's Small Order Execution System and to Schedule D to the NASD By-Laws
Notice To Members 87-76
New Category of Limited Representative Registration for Corporate Securities and Availability of a Study Outline for the Series 62 — Corporate Securities Limited Representative Qualification Examination
Notice To Members 87-75
Revised Series 4 — Registered Options Principal (ROP) Qualification Examination and New Study Outline
Notice To Members 87-74
NASDAQ National Market System Grows to 3,076 Securities With 10 Additions on November 17, 1987
Notice To Members 87-73
Request for Comments on Amendment to Board of Governors' Free-Riding Interpretation Concerning Investment Partnerships
Notice To Members 87-72
NASDAQ National Market System Grows to 3,087 Securities With 15 Additions on November 3, 1987
Notice To Members 87-71
H.B. Shaine & Co., Inc. Ill Pearl Street, N.W. Grand Rapids, Michigan 49503
Notice To Members 87-70
Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedules
Notice To Members 87-69
Front-Running of Blocks—Interpretation of the Board of Governors on Article III, Section 1 of the Rules of Fair Practice
Notice To Members 87-68
NASDAQ National Market System Grows to 3,077 Securities With 10 Additions on October 20, 1987
Notice To Members 87-66
Quarterly Check List of NASD Notices to Members
Notice To Members 87-67
Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
Notice To Members 87-65
Statutorily Disqualified Persons Who Obtain a Controlling Interest in an NASD Member Firm and Failure of NASD-Registered Persons Who Become Statutorily Disqualified to Timely Amend Form U-4
Notice To Members 87-64
NASDAQ National Market System Grows to 3,063 Securities With 17 Additions on October 6, 1987
Notice To Members 87-63
Columbus Day: Trade Date-Settlement Date Schedule
Notice To Members 87-62
NASD Board of Governors' Decision Concerning Regulation of Market Making by Issuer Affiliates
Notice To Members 87-61
Suggested Escrow Agreement Provisions for Members' Compliance With Securities and Exchange Commission Rule 15c2-4
Notice To Members 87-60
NASDAQ National Market System Grows to 3,046 Securities With 11 Additions on September 15, 1987
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