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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 FYI July 2002
For Your Information
Notice to Members 02-50
Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements
Notice to Members FYI August 2002
For Your Information
Notice to Members FYI October 2002
For Your Information
Notice to Members 02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures
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.

Notice to Members FYI November 2002
For Your Information
Notice to Members 02-80
Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
Notice to Members FYI December 2002
For Your Information
Notice to Members 02-84
2003 Trade Date — Settlement Date Schedule
Notice to Members 02-85
NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
Notice to Members FYI March 2003
For Your Information
Notice to Members 03-20
Technical Changes to the NASD Registration Rules
Notice to Members FYI April 2003
For Your Information
Notice to Members 03-37
New Series 23 Examination
Notice to Members 03-59
Due to a change in our publishing schedule, there is no Notice numbered 03-59
Notice to Members 03-61
Broker/Dealer, Registered Representative, Investment Adviser Firm, and Investment Adviser Representative Renewals for 2004
Notice to Members 03-62
SEC Approves NASD Rule Proposal To Govern Lending Between Registered Persons and Customers
Notice to Members 03-64
New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
Notice to Members 03-65
NASD Revises NASD Sanction Guidelines
Notice to Members 03-63
SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker/Dealers
Notice to Members 03-66
SEC Approves Proposed Changes to NASD Rule 2520

Approves Proposed Changes to NASD Rule 2520

Notice to Members 03-67
SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
Notice to Members 03-68
NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
Notice to Members 03-69
SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
Notice to Members 03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Notice to Members 03-71
NASD Reminds Members of Obligations When Selling Non-Conventional Investments
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.

Notice to Members 03-73
NASD Announces Online Availabilty of Comments
Notice to Members 03-74
Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
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.

Notice to Members 03-76
Access to Information Available Under Interpretive Material 8310-2
Notice to Members 03-77
NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
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).

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
Notice to Members 03-81
Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
Notice to Members 03-80
NASDAQ Announces New Service Termination Policy
Notice to Members FYI December 2003
For Your Information
Notice to Members 04-01
NASD Provides Additional Information Regarding Options Exemption for the Trading Activity Fee
Notice to Members 04-02
2004 Renewal Reports and Final Renewal Statements
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