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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 84-46
SEC Approval of Revised Rules for Bunching of NASDAQ/NMS Trades
Notice To Members 84-48
New SEC Staff Interpretation Concerning the Treatment of Concessions Receivable and Related Concessions Payable Under the Uniform Net Capital Rule
Notice To Members 84-47
Adoption of Amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice
Notice To Members 84-49
32 More Securities to Join NASDAQ/NMS on September 18, 1984
Notice To Members 84-50
Trade Date — Settlement Dates for October and Early November
Notice To Members 84-51
Amendments to Code of Arbitration Procedure
Notice To Members 84-52
Next NASDAQ/NMS Phase-In Scheduled for October 16
Notice To Members 84-53
Request for Comments on Proposed Amendment to Appendix F Concerning Suitability Requirements for Freely Tradeable Partnership Units
Notice To Members 84-54
Quarterly Checklist of Notices to Members
Notice To Members 84-55
Implementation of NASDAQ Equity Audit Trail
Notice To Members 84-56
Three Securities Mandated to Join NASDAQ/NMS on November 13, 1984
Notice To Members 84-58
Thanksgiving Day: Trade Date — Settlement Date Schedule
Notice To Members 84-57
Federal Reserve Board Acts to Grant Immediate Margin Status To All NASDAQ/NMS Issues
Notice To Members 84-60
1985 Schedule of Holidays
Notice To Members 84-59
National Market System Grows to 1,142 Securities With 40 Voluntary Additions on November 20, 1984
Notice To Members 84-61
PLATO Learning Centers to Close Thanksgiving Week, November 19–23, 1984
Notice To Members 84-62
Effect of the Tax Reform Act of 1984 and Amendments to Various NASD and SEC Rules on NASD Qualification Examinations
Notice To Members 84-63
Small Order Execution System (SOES)
Notice To Members 84-64
Securities and Exchange Commission Interpretation of Application of Rule 15c2-4 to Direct Participation Program Offerings
Notice To Members 84-66
Vantage Securities of Colorado, Inc. 7000 E. Belleview Avenue, #307 Englewood, Colorado
Notice To Members 84-65
Christmas Day–New Year's Day: Trade Date—Settlement Date Schedule
Notice To Members 84-67
NASDAQ National Market System Grows to 1,185 Securities With 50 Voluntary Additions on December 18, 1984
Notice To Members 84-68
Amendments to the Uniform Practice Code to Provide for a Liability Notice Procedure and a Liability Notice Form
Notice To Members 84-69
Offshore Shell Bank Licenses Registered in Majuro, Marshall Islands
Notice To Members 84-70
25 Stocks Added to the Small Order Execution System (SOES)
Notice To Members 84-71
SEC Rule 15c2-2 Fully Effective
Notice To Members 84-72
Expansion of NASDAQ National Market System
Notice To Members 84-73
Proposed Amendment to the Uniform Practice Code to Require Prompt Settlement of Syndicate Accounts
Notice To Members 85-1
Martin Luther King, Jr.'s Day: Trade Date — Settlement Date Schedule
Notice To Members 85-2
NASDAQ National Market System Grows to 1,276 Securities With 100 Voluntary Additions on January 22, 1985
Notice To Members 85-3
Membership Vote on Proposed Amendments to Association's By-Laws and Solicitation of Comments on Proposed Amendments to the Code of Procedure
Notice To Members 85-4
Quarterly Checklist of Notices to Members
Notice To Members 85-6
Amendment to Corporate Financing Filing Requirements Effective March 1, 1985
Notice To Members 85-5
Follow-up to NASD Notice to Members 84-48 Dealing with Concessions Receivable and Related Commissions Payable
Notice To Members 85-7
Changes to Georgia Blue Sky Registration Requirements for NASDAQ Companies
Notice To Members 85-8
NASDAQ National Market System Grows to 1,378 Securities With 100 Voluntary Additions on February 5, 1985 and Four Mandatory Inclusions on February 12, 1985
Notice To Members 85-9
Holiday Settlement Schedule — February, 1985
Notice To Members 85-11
Expansion of the Small Order Execution System (SOES)
Notice To Members 85-10
NASDAQ National Market System Grows to 1,472 Securities With 100 Voluntary Additions on February 19, 1985
Notice To Members 85-12
Fiduciary Obligations of Members When Handling Customer Limit Orders
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