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 06-10 | NASD Revises Sanction Guidelines
Effective Date: March 31, 2006
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| Notice to Members 06-11 | SEC Approves Amendment to NASD Interpretive Material 3013 Regarding Timing of Submission of Report that Evidences Processes to a Member's Board of Directors and Audit Committee
Effective Date: March 17, 2006
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| Notice to Members 06-12 | Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006, Effective Date of Uniform Definition: NASD: July 3, 2006
NYSE: September 9, 2005
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| Notice to Members 06-13 | Validation of Electronic Blue Sheet Systems: Intermarket Surveillance Group Requires Validation by March 31, 2006
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| Notice to Members 06-14 | SEC Approves Amendments to the Short Interest Reporting Requirements
Effective Date: July 3, 2006
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| Notice to Members 06-15 | SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules
NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface
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| Notice to Members 06-16 | NASD Amends Rule 1013 to Adopt a Standardized Application Form (Form NMA) to be Used by All New Member Applicants
Implementation Date: May 20, 2006
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| Notice to Members 06-17 | NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules
Compliance Date: July 10, 2006
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| Notice to Members 06-19 | SEC Approves New Rule 3380, Order Entry and Execution Practices
Effective Date: May 25, 2006
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| Notice to Members 06-18 | SEC Division of Market Regulation Issues Interpretive Guidance Regarding Regulation SHO Close-Out Requirements
Effective Date: May 1, 2006
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| Notice to Members 06-20 | NASD Implements Changes to the Regulation Filing Applications System
Effective Date: July 3, 2006
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| Notice to Members 06-21 | NASD and NYSE Issue Joint Guidance on Charitable Contributions
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| Notice to Members 06-22 | NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was Inter-Dealer or Dealer-Customer and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller
Comment Period Expires June 15, 2006
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| Notice to Members 06-23 | NASD Reminds FINOPs of their Obligations under NASD Rule 1022 and Issues Guidance to FINOPS who Work Part-Time, Work Off-Site or Hold Multiple Registrations
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| Notice to Members 06-24 | NASD Informs Members of Upcoing District Committee and District Nominating Committee Elections
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| Notice to Members 06-25 | Establishment of Branch Office System Processing Fee and Waiver of Branch Office System Processing Fee and Annual Branch Office Registration Fee For One Branch Office Per Member Per Year
Effective Date: July 3, 2006
This version was updated on 6/5/06. |
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| Notice to Members 06-26 | Amendments to Margin Rules to Reflect Additional Complex Option Spread Strategies
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| Notice to Members 06-27 | SEC Approves Amendments to Rule 6740 Relating to Submission of SEC Rule 15c2-11 Information to NASD
Effective Date: June 29, 2006
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| Notice to Members 06-28 | SEC Approves New Rule 3210 Applying Short Sale Delivery Requirements to Non-Reporting OTC Equity Securities
Effective Date: July 3, 2006
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| Notice to Members 06-30 | Amendments to the Fee for Extension of Time Requests under Regulation T and SEC Rule 15c3-3
Effective Date: July 1, 2006
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| Notice to Members 06-29 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Nomination Deadline: July 17, 2006
This Notice has been revised to reflect the new Chair of the Regional Nominating Committee for the New York Region. |
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| Notice to Members 06-32 | NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available
Comment Period Expires August 15, 2006
The comment period was extended to August 15, 2006. |
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| Notice to Members 06-31 | NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Comment Period Expires September 15, 2006
The comment period was extended to September 15, 2006. |
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| Notice to Members 06-33 | Frequently Asked Questions regarding Electronic Blue Sheet Submissions
Remediation Dates Extended
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| Notice to Members 06-34 | Technical Changes in the Reporting of Statistical and Summary Information Regarding Customer Complaints and Disclosure Events pursuant to Rule 3070
This NTM has been revised to reflect an extension of the effective date to December 15, 2006, and to correct certain non-substantive text. |
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| Notice to Members 06-35 | Revisions to the Series 22, 27, 28, 39 and 55 Examination Programs
Implementation Date: August 15, 2006
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| Notice to Members 06-36 | NASD and NYSE Joint Interpretive Guidance on Fixed Income Research
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| Notice to Members 06-37 | Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker (This Notice is superseded by Notice to Members 06-44)
This Notice is superseded by Notice to Members 06-44. |
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| Notice to Members 06-38 | Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
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| Notice to Members 06-39 | SEC Approves Amendments Relating to Automated Reporting of Transactions Subject to Regulatory Transaction Fee
Effective Date: December 1, 2006
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| Notice to Members 06-41 | Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
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| Notice to Members 06-42 | Pilot Program to Permit Additional Market Participant Identifier Functionality on the Alternative Display Facility
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| Notice to Members 06-40 | Nominees for District Committee and District Nominating Committee
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| Notice to Members 06-43 | NASD Announces Nominees for Regional Industry Member Seats on the National Adjudicatory Council
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| Notice to Members 06-45 | SEC Approves Amendments to NASD Rule 2211 to Require Principal Pre-Use Approval of Certain Member Correspondence Sent to 25 or More Existing Retail Customers within a 30 Calendar-Day Period
Effective Date: December 1, 2006
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| Notice to Members 06-44 | Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker (This Notice supersedes Notice to Members 06-37)
This Notice supersedes Notice to Members 06-37. |
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| Notice to Members 06-46 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Notice to Members 06-47 | SEC Approves New Rule 2441 Requiring Disclosure and Consent When Trading on a Net Basis with Customers
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| Notice to Members 06-48 | SEC Approves Amendments to NASD Rules 2210 and 2211 to Require Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Effective Date: April 1, 2007
This Notice has been updated to correct the rule reference at the top of page 4 to 2210(d)(3)(B). |
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| Notice to Members 06-49 | NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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