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 |
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| Notice to Members FYI July 2002 | For Your Information
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| Notice to Members 02-50 | Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements
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| Notice to Members FYI August 2002 | For Your Information
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| Notice to Members FYI October 2002 | For Your Information
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| Notice to Members 02-73 | SEC Approves New Rules and Rule Amendments Concerning Security Futures
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| Notice to Members 02-79 | NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on November 4)
A proxy package was sent to each NASD Executive Representative on November 4. |
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| Notice to Members FYI November 2002 | For Your Information
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| Notice to Members 02-80 | Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
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| Notice to Members FYI December 2002 | For Your Information
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| Notice to Members 02-84 | 2003 Trade Date — Settlement Date Schedule
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| Notice to Members 02-85 | NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
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| Notice to Members FYI March 2003 | For Your Information
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| Notice to Members 03-20 | Technical Changes to the NASD Registration Rules
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| Notice to Members FYI April 2003 | For Your Information
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| Notice to Members 03-37 | New Series 23 Examination
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| Notice to Members 03-59 | Due to a change in our publishing schedule, there is no Notice numbered 03-59
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| Notice to Members 03-61 | Broker/Dealer, Registered Representative, Investment Adviser Firm, and Investment Adviser Representative Renewals for 2004
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| Notice to Members 03-62 | SEC Approves NASD Rule Proposal To Govern Lending Between Registered Persons and Customers
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| Notice to Members 03-64 | New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
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| Notice to Members 03-63 | SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
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| Notice to Members 03-66 | SEC Approves Proposed Changes to NASD Rule 2520
Approves Proposed Changes to NASD Rule 2520 |
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| Notice to Members 03-65 | NASD Revises NASD Sanction Guidelines
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| Notice to Members 03-67 | SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
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| Notice to Members 03-68 | NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
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| Notice to Members 03-69 | SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
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| Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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| Notice to Members 03-71 | NASD Reminds Members of Obligations When Selling Non-Conventional Investments
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| Notice to Members 03-72 | Request for Comment on Regulatory Approaches to Enhance IPO Pricing Transparency (Note: The comment period has been extended to January 23, 2004)
Note: The comment period has been extended to January 23, 2004. |
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| Notice to Members 03-74 | Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
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| Notice to Members 03-73 | NASD Announces Online Availabilty of Comments
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| Notice to Members 03-75 | NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on December 2)
A proxy package was sent to each NASD Executive Representative on December 2. |
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| Notice to Members 03-76 | Access to Information Available Under Interpretive Material 8310-2
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| Notice to Members 03-77 | NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
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| Notice to Members 03-78 | 2004 Trade Date — Settlement Date Schedule (Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005))
Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005). |
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| Notice to Members 03-79 | SEC Approves New Rule 2790 (Restrictions on the Purchase and Sale of IPOs of Equity Securities)
Replaces Free-Riding and Withholding Interpretation
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| Notice to Members 03-80 | NASDAQ Announces New Service Termination Policy
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| Notice to Members 03-81 | Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
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| Notice to Members FYI December 2003 | For Your Information
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| Notice to Members 04-01 | NASD Provides Additional Information Regarding Options Exemption for the Trading Activity Fee
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| Notice to Members 04-02 | 2004 Renewal Reports and Final Renewal Statements
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