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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 - February 1999
Year 2000 Update
Notice to Members - March 1999
For Your Information
Notice to Members - March 1999
Year 2000 Update
Notice to Members - April 1999
For Your Information
Notice to Members - April 1999
Year 2000 Update
Notice to Members - May 1999
Year 2000 Update
Notice to Members - June 1999
For Your Information
Notice to Members - July 1999
For Your Information
Notice to Members - August 1999
For Your Information
Notice to Members 99-75
Series 7 Examination Fee Increase Effective September 15, 1999
Notice to Members - September 1999
For Your Information
Notice to Members 99-77
NASD Regulation Modifies Default Decision Procedures
Notice to Members - December 1999
For Your Information
Notice to Members 99-100
SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
Notice to Members 2000
For Your Information
Notice to Members 2000
For Your Information
Notice to Members 2000
For Your Information
Notice to Members 00-27
Deadline Extended For Series 55 Equity Trader Examination To October 1, 2000
Notice to Members 00-46
NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
Notice to Members 2000
For Your Information
Notice to Members - FYI - August 2000
For Your Information
Notice to Members 00-61
NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
Notice to Members 2000
For Your Information
Notice to Members 2000
For Your Information
Notice to Members FYI February 2001
For Your Information
Notice to Members FYI March 2001
For Your Information
Notice to Members 01-32
Series 24, 26, And 62 Modified
Notice to Members FYI June 2001
For Your Information
Notice to Members 01-39
SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings
Related Qualification Examination (Series 82) Is Effective
Notice to Members FYI July 2001
For Your Information
Notice to Members FYI August 2001
For Your Information
Notice to Members FYI September 2001
For Your Information
Notice to Members FYI November 2001
For Your Information
Notice to Members FYI December 2001
For Your Information
Notice to Members FYI February 2002
For Your Information
Notice to Members FYI March 2002
For Your Information
Notice to Members 02-27
Series 22, 27, 28, 39, 55, And 82 Modified
Notice to Members FYI May 2002
For Your Information
Notice to Members FYI June 2002
For Your Information
Notice to Members 02-32
SEC Approves NASD Rule Requiring Members to Require Investors to Sign a Disclosure Document as Part of a Subordinated Loan Agreement
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