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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 87-58
Amendments to SEC Rule 15c3-3 Regarding Treatment of Hold-in-Custody Repurchase Agreements
Notice To Members 87-59
Check List of NASD Notices to Members
Notice To Members 87-57
NASDAQ National Market System Grows to 3,039 Securities With 23 Additions on September 1, 1987
Notice To Members 87-56
Labor Day; Trade Date-Settlement Date Schedule
Trade Date-Settlement Date Schedule
Notice To Members 87-55
Amendments to NASD Code of Arbitration Procedure Effective July 1, 1987
Notice To Members 87-54
NASDAQ National Market System Grows to 3,018 Securities With 8 Additions on August 18, 1987
Notice To Members 87-52
Request for Comments on Proposed Amendment to the NASD Board of Governors' Corporate Financing Interpretation Concerning Public Offerings When Proceeds Are Directed to NASD Members
Notice To Members 87-51
Treasury Department Adopts Changes to the Requirements Concerning Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Notice To Members 87-53
Request for Comments on Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules
Notice To Members 87-50
Amendments to SEC Rules 15c3-l, 17a-3, and 17a-13 Regarding Treatment of Repurchase and Reverse Repurchase Agreements
Notice To Members 87-49
New $ 10 NYSE Series 7 Development Fee to Begin in August
Notice To Members 87-48
NASDAQ National Market System Grows to 3,019 Securities With 30 Voluntary Additions on August 4, 1987, and One Mandatory Inclusion On August 4, 1987
Notice To Members 87-47
Request for Comments on a Proposed New Level of Registration, Designated Assistant Representative-Order Processing, Under Schedule C to the NASD By-Laws
Notice To Members 87-46
SEC Approval of NASD Corporate Governance Standards for NASDAQ/NMS Issuers and Amendments to Schedule D to the NASD By-Laws Concerning Designation of NASDAQ National Market System (NASDAQ/NMS) Securities
Notice To Members 87-45
NASDAQ National Market System Grows to 2,993 Securities With 20 Voluntary Additions on July 21, 1987
Notice To Members 87-44
Proposed Amendment to Article III, Section 26(m) of the NASD Rules of Fair Practice Governing Prompt Payment for Investment Company Shares
Notice To Members 87-42
NASDAQ National Market System Grows to 2,972 Securities With 29 Voluntary Additions on July 7, 1987
Notice To Members 87-43
Adoption of Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Regarding Advertising and Sales Literature for Direct Participation Programs
Notice To Members 87-41
Proposed Amendments to Definitions of "Branch Office" and "Office of Supervisory Jurisdiction" Under the NASD By-Laws, Schedule C to the By-Laws, and the Rules of Fair Practice
Notice To Members 87-40
Request for Comments on a Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
Notice To Members 87-39
Request for Comments on Addition of a Corporate Securities Limited Representative Category of Registration Under Schedule C to the NASD By-Laws
Notice To Members 87-38
Independence Day Trade Date-Settlement Date Schedule
Notice To Members 87-37
Proposed Amendment to Article I, Section (c) of the NASD By-Laws Relating to the Definition of the Term "Branch Office"
Notice To Members 87-36
Split Expiration of Index Options and Futures on June 19, 1987
Notice To Members 87-35
NASDAQ National Market System Grows to 2,940 Securities With 23 Voluntary Additions on June 16, 1987
Notice To Members 87-31
Mark-Ups and Mark-Downs on Zero-Coupon Securities
Notice To Members 87-34
NASDAQ National Market System Grows to 2,917 Securities With 28 Voluntary Additions on June 2, 1987
Notice To Members 87-33
Forms BD and U-4 Revisions, Government Securities Brokers and Dealers Registration Requirements
Notice To Members 87-32
Request for Comments on Shareholder Voting Rights Proposal For NASDAQ Companies
Notice To Members 87-30
NASDAQ National Market System Grows to 2,893 Securities With 21 Voluntary Additions on May 19, 1987
Notice To Members 87-29
NASDAQ/MSE: Unlisted Trading Privileges
Notice To Members 87-28
Memorial Day Trade Date-Settlement Date Schedule
Notice To Members 87-27
NASDAQ National Market System Grows to 2,873 Securities With 19 Voluntary Additions on May 5, 1987, and Four Mandatory Inclusions on May 12, 1987
Notice To Members 87-26
NASDAQ National Market System Grows to 2,850 Securities With 12 Voluntary Additions on April 21, 1987
Notice To Members 87-25
Request for Comments and Suggestions on Regulation of Market Making By Affiliates of Issuers
Notice To Members 87-24
Request for Comments on Proposed Amendments to Article III, Section 35 of the NASD Rules of Fair Practice
Notice To Members 87-23
Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
Notice To Members 87-22
Amendments to Resolution of the Board of Governors Concerning Its Policy on Publication of Disciplinary Actions
Notice To Members 87-21
NASDAQ National Market System Grows to 2,847 Securities With 37 Voluntary Additions on April 7, 1987
Notice To Members 87-20
Request for Comments on Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice
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