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 97-47
NASD Regulation Requests Comment on Presentation of Related Performance Information
Comment Period Expired September 29, 1997
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
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
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 97-60
SEC Approves New Procedures for Granting Exemptions to NASD Rules
Sep 1, 1997 Notice to Members 97-56
Intermarket Surveillance Group Issues New Automated Reporting Requirements
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
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 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 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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