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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 93-89
NASD 1994 Holiday Schedule
Notice To Members 93-88
SEC Approves Amendment Clarifying The Application of the NASD's Corporate Financing Rule to Rule 415 Shelf Offerings and Certain Canadian Securities;
Notice To Members 93-87
NASD Provides Guidance for Reinvestment of Maturing Certificates of Deposit in Mutual Funds
Notice To Members 93-86
SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Resolution of Fails Resulting From Account Transfers;
Notice To Members 93-85
SEC Approves Amendments to CMO Advertising Guidelines:
Notice To Members 93-84
SEC Approves Amendments Prohibiting Certain Anti-Dilution Terms in the Warrant Agreements of Underwriters and Related Persons;
Notice To Members 93-83
SEC Approves New Trade Reporting Requirements for Pre-Opening Transactions And Convertible Debt Transactions
Notice To Members 93-82
Mail Vote—NASD Solicits Member Vote on Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
Notice To Members 93-81
NASD Reminds Members of the Requirement for Fairness Of Agency Commissions And Applicability of the 5% Policy
Notice To Members 93-80
Nasdaq National Market(r) Additions, Changes, And Deletions as of October 25, 1993
Notice To Members 93-79
Christmas Day: Trade Date-Settlement Date Schedule
Notice To Members 93-78
SEC Approves Extension Of MSRB Continuing Disclosure Information Pilot System
Notice To Members 93-77
SEC Adopts Rule 15c6-1; Establishes Three-Business-Day Settlement for Securities Transactions
Establishes Three-Business-Day Settlement for Securities Transactions
Notice To Members 93-76
Mail Vote—NASD Solicits Member Vote On Filing Requirements For Use of Mutual Fund Rankings and Elimination Of Sunset Provisions in Prefiling Requirements For CMO Advertisements;
Notice To Members 93-75
Nasdaq National Market(r) Additions, Changes, And Deletions as of September 24, 1993
Notice To Members 93-74
Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedule
Notice To Members 93-73
Members' Obligations to Customers When Selling Collateralized Mortgage Obligations (CMOs)
Notice To Members 93-72
SEC Approves Major Revisions to Rule 17a-11
Notice To Members 93-71
SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking
Seeks Comments for Proposed Rulemaking
Notice To Members 93-70
SEC Amends Rule 17a-5 Giving Additional Responsibilities to Designated Examining Authorities
Notice To Members 93-69
Broker/Dealer and Agent Renewals for 1993-94
Notice To Members 93-68
Quotation and Trade-Reporting Rules for Members Dealing in High-Yield Bonds
Notice To Members 93-67
Board Eliminates Disclosure Safe Harbor For Members Trading Ahead of Their Own Customers' Limit Orders
Notice To Members 93-66
Nasdaq National Market(r) Additions, Changes, And Deletions as of August 24, 1993
Notice To Members 93-65
Columbus Day: Trade Date-Settlement Date Schedule
Notice To Members 93-64
SEC Approves Amendments Concerning Arbitration of Employment-Related Disputes: Effective October 1, 1993
Notice To Members 93-63
SEC Approves Changes To Make All Arbitration Awards Publicly Available: Effective October 1, 1993
Notice To Members 93-62
Requirements Governing Real-Time Trade Reporting in Over-the-Counter Equity Securities
Notice To Members 93-61
Mail Vote — NASD Solicits Member Vote on New Rule Governing the Pricing of Open Orders;
Notice To Members 93-60
Nasdaq National Market(r) Additions, Changes, And Deletions as of July 22, 1993
Notice To Members 93-59
Labor Day: Trade Date-Settlement Date Schedule
Notice To Members 93-58
NASD Member Buying Services Provides Members With Discounted Products And Services
Notice To Members 93-57
SOES Tier Levels Set to Change for 517 Issues On September 1, 1993
Notice To Members 93-56
Quotation and Trade-Reporting Requirements For Members Dealing in High-Yield Bonds
Notice To Members 93-55
SEC Amends and Clarifies Penny Stock Rules
Notice To Members 93-54
SEC Approves Quotation-Size Requirements for Market Makers in OTC Equity Securities
Notice To Members 93-53
SEC Approves Amendments Relating to Close Outs of Short Sales and Bona Fide Fully Hedged or Arbitraged Positions
Notice To Members 93-52
Mail Vote — Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
Notice To Members 93-51
Mail Vote — Proposed Amendment to the Corporate Financing Rule Relating to Fairness and Reasonableness of Anti-Dilution Provisions in Underwriters' Warrants', Options, and Convertible Securities;
Notice To Members 93-50
Mail Vote — Proposed New Section to the Rules of Fair Practice Relating to the Respective Obligations And Supervisory Responsibilities of Introducing and Clearing Firms;
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