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 |
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| Notice To Members 92-57 | Proposed Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Voting Date: December 21, 1992
Last Voting Date: December 21, 1992
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| Notice To Members 92-62 | SOES Tier Levels to Change for 538 Issues on December 1, 1992
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| Notice To Members 92-67 | NASD® Responds to SEC's Market 2000 Concept Release
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| Notice To Members 92-69 | NASD 1993 Holiday Schedule
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| Notice To Members 92-66 | Quotation and Trade-Reporting Requirements for Members Dealing in High-Yield Bonds
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| Notice To Members 92-71 | Nasdaq National Market® Additions, Changes, and Deletions as of November 20, 1992
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| Notice To Members 92-68 | Federal and State Legislative Update
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| Notice To Members 92-65 | SEC Approval of Amendments Concerning the Exclusion of Class-Action Matters From Arbitration Proceedings and Requiring That Predispute Arbitration Agreements Include a Notice That Class-Action Matters May Not Be Arbitrated
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| Notice To Members 92-70 | Trade Date-Settlement Date Schedule for 1993
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| Notice To Members 92-72 | SEC Adopts Significant Amendments to the Net Capital Rule, Proposes Others for Public Comment
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| For Your Information - January 1993 | For Your Information
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| Notice To Members 93-3 | SEC Approval of Amendments to Branch-Office Fees
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| Notice To Members 93-5 | Annual Check List of NASD Notices to Members
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| Notice To Members 93-2 | Market-Maker Obligations With Regard to Display of Size in Quotations
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| Notice To Members 93-7 | Nasdaq National Market Additions, Changes, And Deletions As of December 21, 1992
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| Notice To Members 93-4 | 1993 Renewal Rosters And Final Adjusted Invoices
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| Notice To Members 93-1 | SEC Approval of Amendment to Article III, Section 15 of the NASD® Rules of Fair Practice; Effective December 3, 1992
Effective December 3, 1992
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| Notice To Members 93-6 | Presidents' Day — Trade Date-Settlement Date Schedule
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| Notice To Members 93-11 | SEC Grants OTC Bulletin Board<sup>®</sup> Interim Designation As a "Qualifying Electronic Quotation System"
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| Notice To Members 93-8 | SEC Approval of Amendment Relating To the Payment of Gratuities or Anything Of Value by Members To Others
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| Notice To Members 93-13 | Market-Maker Display of Size in Nasdaq Small-Cap Market<sup>SM</sup> Securities
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| Notice To Members 93-10 | Request for Comments On Proposed Amendment to the Corporate Financing Rule Relating to the Fairness And Reasonableness of Underwriter Warrant's Anti-Dilution Provisions
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| Notice To Members 93-12 | Questions and Answers About New NASD<sup>®</sup> Rules Governing Investment Company Sales Charges — Article III, Sections 26(b) and (d) of the Rules of Fair Practice
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| Notice To Members 93-9 | SEC Approves Amendments to NASD<sup>®</sup> Rules Governing Transaction Reporting
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| Notice To Members 93-14 | Nasdaq National Market(r) Additions, Changes, And Deletions as of January 21, 1993
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| Notice To Members 93-19 | NASD Reminds Members to Settle Syndicate Accounts Within 90 Days of the Settlement Date
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| Notice To Members 93-16 | SEC Approves Code of Procedure Amendments That Permit the NASD to Institute Summary Revocation Proceedings For Failing to Pay an Arbitration Award
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| Notice To Members 93-21 | Good Friday: Trade Date-Settlement Date Schedule
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| Notice To Members 93-18 | SEC Approves Collateralized Mortgage Obligations Advertising Guidelines for Communications With the Public
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| Notice To Members 93-15 | Mail Vote — Proposed Amendments to Articles VII and XII of the NASD By-Laws and Article III of The NASD Rules of Fair Practice to Make All Rule Approval Procedures Under the By-Laws Uniform;
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| Notice To Members 93-20 | NASD and Other SROs Launch Continuing Education Effort for Member Firms
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| Notice To Members 93-17 | SEC Approves Changes To Uniform Practice Code Establishing Close-Out Procedures for Fails
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| Notice To Members 93-22 | Nasdaq National Market(r) Additions, Changes, And Deletions as of February 22, 1993
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| Notice To Members 93-27 | Memorial Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-24 | SEC Approves Fifth-Character Identifier In Market-Maker Symbols for Non-Primary Trading Location
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| Notice To Members 93-29 | SEC Approves Rule 10b-6 Passive Market Making and Changes to Notification Procedures Under Schedule D of the NASD By-Laws
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| Notice To Members 93-26 | NASD Urges Members to Provide Complete and Accurate Blue Sheet Submissions
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| Notice To Members 93-23 | SEC Approves New NASD Margin Rules
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| Notice To Members 93-28 | Nasdaq National Market(r) Additions, Changes, And Deletions as of March 23, 1993
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| Notice To Members 93-25 | SEC Approves New Trade-Reporting Requirements for Late-Trade Reports
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