Notices

FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pubsort descending Title Description
Aug 1, 1997 Notice to Members 97-46
SEC Approves Rule Prohibiting Payments for Market Making
Aug 1, 1997 Notice to Members 97-45
Corrected List of SOES Tier Size Levels Effective July 1, 1997
Aug 1, 1997 Notice to Members FYI August 1997
For Your Information
Sep 1, 1997 Notice to Members 97-65
Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages
Sep 1, 1997 Notice to Members 97-56
Intermarket Surveillance Group Issues New Automated Reporting Requirements
Sep 1, 1997 Notice to Members 97-60
SEC Approves New Procedures for Granting Exemptions to NASD Rules
Sep 1, 1997 Notice to Members 97-64
Fixed Income Pricing System Additions, Changes, and Deletions as of August 22, 1997
Sep 1, 1997 Notice to Members 97-59
NASD Regulation Requests Comment on Injunctive Relief and Expedited Proceedings
Comment Period Expired October 31, 1997
Sep 1, 1997 Notice to Members 97-63
Columbus Day: Trade Date Settlement Date Schedule
Sep 1, 1997 Notice to Members 97-62
SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement of SEC Fee Rate Algorithm
Sep 1, 1997 Notice to Members 97-58
NASD Regulation Requests Comment on Proposed Interpretive Material 1031 Regarding Cold Calling Activity
Comment Period Expired October 31, 1997
Sep 1, 1997 Notice to Members 97-66
Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
Sep 1, 1997 Notice to Members FYI September 1997
For Your Information
Sep 1, 1997 Notice to Members 97-61
SOES Tier Size Levels Set to Change October 1, 1997
Sep 1, 1997 Notice to Members 97-57
NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
Oct 1, 1997 Notice to Members 97-69
No Notice has been designated as 97-69
Oct 1, 1997 Notice to Members 97-74
SEC Approves Amendments To Legal Definition Of Short Sale
Oct 1, 1997 Notice to Members 97-73
Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997
Oct 1, 1997 Notice to Members 97-68
SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720; Effective September 4, 1997
Oct 1, 1997 Notice to Members FYI October 1997
For Your Information
Oct 1, 1997 Notice to Members 97-72
Veterans Day And Thanksgiving Day: Trade Date Settlement Date Schedule
Oct 1, 1997 Notice to Members 97-71
NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
Oct 1, 1997 Notice to Members 97-67
NASD Regulation Institutes Firm Quote Compliance
Oct 1, 1997 Notice to Members 97-70
Broker-Dealer And Agent Renewals For 1998
Oct 14, 1997 Notice to Members 97-75
Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
Last Voting Date: November 13, 19971(Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.)

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