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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 94-95
NASD Requests Comment On Proposed Customer Complaint Rules
Notice To Members 94-94
NASD Requests Comment On Proposed Rule Governing Members Operating On Bank Premises;
Notice To Members 94-93
NASD Requests Comment On Proposed Rule Governing Registered Persons Lending To Or Borrowing From Customers
Notice To Members 94-101
Fixed Income Pricing System Additions, Changes, And Deletions As Of November 28, 1994
Notice To Members 94-100
Nasdaq National Market Additions, Changes, And Deletions As Of November 28, 1994
Notice To Members 94-92
Fixed Income Pricing System Additions, Changes, And Deletions As Of October 31, 1994
Notice To Members 94-91
Nasdaq National Market Additions, Changes, And Deletions As Of October 27, 1994
Notice To Members 94-90
Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 94-89
Fed Amends Regulation T
Notice To Members 94-88
Fixed Income Pricing System Additions, Changes, And Deletions As Of September 30, 1994
Notice To Members 94-87
Nasdaq National Market Additions, Changes, And Deletions As Of September 29, 1994
Notice To Members 94-86
NASD 1995 Holiday Schedule
Notice To Members 94-85
Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule
Notice To Members 94-84
Broker/Dealer And Agent Renewals For 1994-95
Notice To Members 94-83
NASD Provides Additional Guidance Concerning The Operation Of The NASD Short-Sale Rule
Notice To Members 94-82
NASD Solicits Comment On Proposed Amendment To The Corporate Financing Rule Relating To Rights Of First Refusal;
Notice To Members 94-81
SEC Approves NASD Proposal To Require CQS Market-Maker Participation In ITS/CAES And CAES
Notice To Members 94-80
SEC Approves NASD Proposal Requiring Members To Annotate Their Affirmative Determinations As To Stock Availability Made In Connection With Short Sales
Notice To Members 94-79
NASD Solicits Member Comment On Board Proposals To Extend Customer Limit-Order Protection;
Notice To Members 94-78
Fixed Income Pricing System Additions, Changes, And Deletions As Of August 29, 1994
Notice To Members 94-77
Nasdaq National Market Additions, Changes, And Deletions As Of August 29, 1994
Notice To Members 94-76
Columbus Day: Trade Date-Settlement Date Schedule
Notice To Members 94-75
NASD Requests Comment On Standardized Forms Proposed For DPP Securities;
Notice To Members 94-74
NASAA Publishes Form Revisions For Public Comment:
Notice To Members 94-73
SEC Approves Clearance And Settlement Proposal For Nasdaq And OTCBB Market Makers
Notice To Members 94-72
SEC Approves Elimination Of Access Market-Maker Procedures
Notice To Members 94-71
SEC Approves Amendments To Trade-Reporting Requirements For Trades Executed Outside Normal Market Hours
Notice To Members 94-70
SEC Approves Adoption Of NASD Limited Partnership Rollup Transaction Rules;
Notice To Members 94-69
Committee On Compensation Practices Requests Comment;
Notice To Members 94-68
SEC Approves Short-Sale Rule For The Nasdaq Stock Market
Notice To Members 94-67
NASD Solicits Member Comment On Cash And Non-Cash Compensation For Selling Investment Company And Variable Contract Securities;
Notice To Members 94-66
Fixed Income Pricing System Additions, Changes, And Deletions As Of July 29, 1994
Notice To Members 94-65
Nasdaq National Market Additions, Changes, And Deletions As Of July 28, 1994
Notice To Members 94-64
Labor Day: Trade Date-Settlement Date Schedule
Notice To Members 94-63
New Section 46 Of Article III Of The Rules Of Fair Practice Governing The Repricing Of Open Orders Takes Effect September 15, 1994
Notice To Members 94-62
NASD Solicits Member Comments On The Application Of The NASD Mark-Up Policy To Transactions In Government And Other Debt Securities, And Suitability Obligations To Institutional Customers In Debt And Equity Transactions;
Notice To Members 94-61
SEC Approves Amendment To Code Of Arbitration Procedure Permitting Arbitrator Disciplinary Referrals
Notice To Members 94-60
SEC Approves Guidelines Relating To The Use Of Rankings In Investment Company Advertisements And Sales Literature
Notice To Members 94-59
Rule Proposals Of The Industry/Regulatory Council On Continuing Education
Notice To Members 94-58
SEC Approves New NASD Limit Order Protection Rule
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