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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 94-57
Nasdaq National Market Additions, Changes, And Deletions As Of June 28, 1994
Notice To Members 94-56
Fixed Income Pricing System Additions, Changes, And Deletions As Of June 28, 1994
Notice To Members 94-55
Members Reminded To Report Address, Contact Changes To NASD
Notice To Members 94-54
NASD Solicits Public Comment On Approaches Governing Award Of Punitive Damages In Arbitration
Notice To Members 94-53
SEC Proposes Amendments To Regulation T
Notice To Members 94-52
Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The NASD By-Laws To Facilitate The NASD Manual Revision;
Notice to Selected Members
Special Notice to Selected Members
Notice To Members 94-31
Nasdaq National Market Additions, Changes, And Deletions As Of March 28, 1994
Notice To Members 94-30
Memorial Day: Trade Date-Settlement Date Schedule
Notice To Members 94-29
SEC Approves Use Of Market-Maker Identifiers For OTCBB And Elimination Of Certain Schedule H Reporting Requirements
Notice To Members 94-28
Effectiveness Of New Section 46 Of Article III Of The Rules Of Fair Practice Delayed Until September 15, 1994
Notice To Members 94-27
Increased Advertising Regulation Department Filing Fees Take Effect May 1, 1994
Notice To Members 94-26
SEC Approves Surcharge On Any NASD Member Named As A Party To An Arbitration Proceeding
Notice To Members 94-25
SEC Approves Amendments To Filing Requirements For Communications Regarding Mutual Fund Rankings And CMOs Effective June 1, 1994
Notice To Members 94-24
SEC Approves Amendments To Remove The Member Vote Requirement For Amendments To The Rules Of Fair Practice And Incorporate Appendices Into Rules Of Fair Practice
Notice To Members 94-23
Fixed Income Pricing System (FIPS) Begins Operation
Notice To Members 94-22
Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The Pre-Membership Interview Procedures;
Notice To Members 94-21
Nasdaq National Market Additions, Changes, And Deletions As Of February 24, 1994
Notice To Members 94-20
Good Friday: Trade Date-Settlement Date Schedule
Notice To Members 94-19
Appointment Of A SI PC Trustee
Notice To Members 94-18
Municipal Securities Rulemaking Board Preparing Way For T+3 Settlement Of Municipal Securities
Notice To Members 94-17
SEC Reproposes Large-Trader Reporting System
Notice To Members 94-16
NASD Reminds Members Of Mutual Fund Sales Practice Obligations
Notice To Members 94-15
SEC Issues Alert Regarding Stolen Stock Certificates
Notice To Members 94-14
NASD Clarifies Compensation Disclosure Requirements For Mutual Funds In Article III, Section 26 Of The NASD Rules Of Fair Practice
Notice To Members 94-13
SEC Approves Sales-Charge Disclosure Exemption For Money Market Mutual Funds
Notice To Members 94-9
SEC Approves New NASD Rule Governing The Pricing Of Open Orders
Notice To Members 94-8
SEC Approves NASD Rules Governing Access To And Use Of The OTC Bulletin Board Service
Notice To Members 94-7
SEC Approves New NASD Rule Relating To The Obligations And Responsibilities Of Introducing And Clearing Firms
Notice To Members 94-6
Solicitation Of Member Comment On Proposed Amendments To The Foreign Associate Provisions Of Schedule C To The NASD By-Laws;
Notice To Members 94-12
Nasdaq National Market Additions, Changes, And Deletions As Of January 27, 1994
Notice To Members 94-11
Special Registration Review Surcharge Takes Effect March 1, 1994
Notice To Members 94-10
Members Urged To Ensure Timely, Accurate, And Complete Trading Data Submissions
For Your Information - January 1994
For Your Information
Notice To Members 94-4
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 94-3
Annual Check List of NASD Notices to Members
Notice To Members 94-2
1993-94 Renewal Rosters and Final Adjusted Invoices
Notice To Members 94-1
SEC Approves New Small Order Execution System Rules
Notice To Members 93-91
Nasdaq National Market<sup>®</sup> Additions, Changes, And Deletions as of November 26, 1993
Notice To Members 93-90
Trade Date-Settlement Date Schedule for 1994
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