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 94-40 | NASD Solicits Member Comment On Trading Activity In Advance Of Research Reports;
|
|
| Notice To Members 94-33 | SEC Approves MSRB Rule G-19 Amendments
|
|
| Notice To Members 95-39 | Members Reminded To Report Address, Contact Changes To NASD
|
|
| Notice To Members 94-37 | SEC Issues Interpretive Statement Regarding Municipal Securities Disclosures; Proposes Changes To Rule 15c2-12
Proposes Changes To Rule 15c2-12
|
|
| Notice To Members 95-28 | Treasury Provides Government Securities Broker/Dealers With Exemptive Relief In Calculating Haircuts For Options On Certain Mortgage-Backed Securities
|
|
| Notice To Members 95-25 | SEC Approves NASD And Options Exchanges' Proposals Regarding Information Storage
|
|
| Notice To Members 95-30 | Memorial Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 95-22 | SEC Approves Amendments To Article III, Section 44 Of The NASD Rules Of Fair Practice About Filing Requirements For Modified Guaranteed Annuity And Life Insurance Contracts
|
|
| Notice To Members 95-27 | NASD Introduces Revised Free-Riding Questionnaire And Form FR-1
|
|
| Notice To Members 95-32 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 29, 1995
|
|
| Notice To Members 95-24 | SEC Approves Recordkeeping And Reporting Requirements For Trading Systems Operated By Broker/Dealers
|
|
| Notice To Members 95-29 | Treasury Approves Amendments To Capital Requirements Under The Government Securities Act Of 1986
|
|
| Notice To Members 95-21 | Request For Comments On Proposed Suitability Obligations To Institutional Customers Interpretation;
|
|
| Notice To Members 95-26 | Conversion To T+3 Settlement, Reg. T, And SEC Rule 15c3-3(m), And Ex-Dividend Schedule
|
|
| Notice To Members 95-31 | Nasdaq National Market Additions, Changes, And Deletions As Of March 27, 1995
|
|
| Notice To Members 95-23 | SEC Adopts Amendments To Rule 15c2-12, Municipal Securities Disclosure
|
|
| Notice To Members 95-20 | NASD Solicits Member Comment On Proposals For Comprehensive Improvements To The Regulation And Operation Of The Nasdaq Stock Market;
|
|
| Notice To Members 95-13 | SEC Approves Amendments Relating To Continuing-Education Requirements
|
|
| Notice To Members 95-17 | Good Friday: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 95-14 | Revised General Securities Registered Representative Examination (Series 7);
|
|
| Notice To Members 95-19 | Fixed Income Pricing System Additions, Changes, And Deletions As Of February 28, 1995
|
|
| Notice To Members 95-16 | Predispute Arbitration Clauses In Customer Agreements
|
|
| Notice To Members 95-18 | Nasdaq National Market Additions, Changes, And Deletions As Of February 23, 1995
|
|
| Notice To Members 95-15 | Treasury Requests Comments On Large Position Recordkeeping And Reporting For Government Securities;
|
|
| Continuing Education Program Update: Regulatory Element Questions And Answers | Continuing Education Program Update: Regulatory Element Questions And Answers
|
|
| Notice To Members 95-12 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 30, 1995
|
|
| Notice To Members 95-9 | NASD Qualification Examinations Revisions;
|
|
| Notice To Members 95-11 | Nasdaq National Market Additions, Changes, And Deletions As Of January 26, 1995
|
|
| Notice To Members 95-8 | Short-Interest Reporting Requirements Revision For Exchange-Listed Securities;
|
|
| Notice To Members 95-10 | 1994-95 Renewal Rosters And Final Adjusted Invoices
|
|
| Notice To Members 95-7 | SEC Approves NASD Proposal Amending Free-Riding And Withholding Interpretation Provisions
|
|
| Notice To Members 95-4 | Presidents' Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 95-1 | NASD Solicits Comment On NASD Mediation Program And Draft Mediation Procedures;
|
|
| Notice To Members 95-6 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 29, 1994
|
|
| Notice To Members 95-03 | Annual checklist of NASD Notices To Members
|
|
| Notice To Members 95-5 | Nasdaq National Market Additions, Changes, And Deletions As Of December 28, 1994
|
|
| For Your Information - January 1995 | For Your Information
|
|
| Notice To Members 95-2 | SEC Adopts Changes To Rule 10b-10; Defers Action On Proposed New Rule 15c2-13
Defers Action On Proposed New Rule 15c2-13
|
|
| Notice To Members 94-102 | New Exercise Advice Procedures For Expiring Equity Options
|
|
| Notice To Members 94-98 | SEC Approves NASD Listing Requirements Proposal To Prohibit Immediate Delistings Of Units
|