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 Pub Titlesort descending Description
Mar 1, 1999 Notice to Members - March 1999
Year 2000 Update
May 1, 1999 Notice to Members - May 1999
Year 2000 Update
Sep 10, 1999 Notice to Members - September 1999
For Your Information
Jan 10, 2000 Notice to Members 00-01
1999-2000 Renewal Rosters and Final Adjusted Statements
Jan 10, 2000 Notice to Members 00-02
NASD Alerts Members to Their Obligations Concerning Soliciting Business in Foreign Jurisdictions
Jan 10, 2000 Notice to Members 00-03
Annual Checklist of NASD Notices to Members
Jan 10, 2000 Notice to Members 00-04
Martin Luther King, Jr. Day and Presidents Day: Trade Date -- Settlement Date Schedule
Jan 10, 2000 Notice to Members 00-05
Fixed Income Pricing System Additions, Changes, and Deletions as of November 23, 1999
Jan 10, 2000 Notice to Members 00-06
The Countdown to Decimals
Jan 10, 2000 Notice to Members 00-07
Disclosure to Customers Engaging in Extended Hours Trading
Jan 10, 2000 Notice to Members 00-08
NASD Reminds Members of Their Obligations Regarding Municipal Securities Transaction Reporting
Feb 10, 2000 Notice to Members 00-09
NASD Issues Various MSRB Rule G-37 Decisions on Exemptive Relief
Feb 10, 2000 Notice to Members 00-10
Nasdaq Reiterates Clearly Erroneous Complaint Procedures
Feb 10, 2000 Notice to Members 00-11
Fixed Income Pricing System Additions, Changes, and Deletions as of December 23, 1999
Feb 10, 2000 Notice to Members 00-12
Amendments Adopted to Clarify the Application of NASD Rules to Offerings Under SEC Rule 504 and Intra-State-Only Offerings
Feb 29, 2000 Notice to Members 00-13
NASD Board of Governors Nominees
Mar 10, 2000 Notice to Members 00-14
NASD Members Must Update Firm Contact Information Via the NASD Regulation Web Site by April 30, 2000
Mar 10, 2000 Notice to Members 00-15
SEC Approves Rule Change Relating to Filing Requirements for Independently Prepared Research Reports
Mar 10, 2000 Notice to Members 00-16
SEC Approves Changes to NASD Public Disclosure Program (Interpretive Material 8310-2)
Mar 10, 2000 Notice to Members 00-17
NASD Regulation Requests Comment on Proposed Recordkeeping and Reporting Requirements for Quotations on Certain Automated, Inter-Dealer Quotation Systems
Comment Period Expired April 10, 2000
Mar 10, 2000 Notice to Members 00-18
NASD Regulation Issues Statement of Policy Regarding Recordation by Members of NASD Examinations
Mar 10, 2000 Notice to Members 00-19
Fixed Income Pricing System Additions, Changes, and Deletions as of January 24, 2000
Mar 10, 2000 Notice to Members 00-20
Good Friday: Trade Date - Settlement Date Schedule
Apr 10, 2000 Notice to Members 00-21
NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
Apr 10, 2000 Notice to Members 00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period
Effective Date: May 15, 2000

Pages