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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 93-49
Solicitation of Member Comment on Board Action to Eliminate the Disclosure Safe Harbor for Customer Limit Orders;
Notice To Members 93-48
Nasdaq National Market(r) Additions, Changes, And Deletions
Notice To Members 93-47
SEC Permits Use of Optical Storage Technology for Records Retention
Notice To Members 93-46
SEC Provides Additional Clarifications and Interpretations to Net Capital Rule Amendments
Notice To Members 93-45
SEC Approves Mandatory Book-Entry Settlement of Transactions in Depository-Eligible Securities
Notice To Members 93-44
SEC Approves Increase In Non-Cash Sales Incentive Compensation
Notice To Members 93-43
SEC Approves Modified Excess Spread Parameters for Market Makers
Notice To Members 93-42
SEC Approves NASD's Minor Rule Violations Plan
Notice To Members 93-41
SEC Approves Schedule D Amendments Permitting Excused Withdrawal or Passive Market-Making Status for Distribution Participants That Are Nasdaq Market Makers
Notice To Members 93-40
Request for Comments on Proposed Amendments to the Free-Riding and Withholding Interpretation Under Article III, Section 1 of the Rules of Fair Practice
Notice To Members 93-39
Nasdaq National Market(r) Additions, Changes, And Deletions as of May 24, 1993
Notice To Members 93-38
Independence Day: Trade Date-Settlement Date Schedule
Notice To Members 93-37
NASD<sup>®</sup> Expands the Public Disclosure Program
Notice To Members 93-36
Codification of Investment Company Advertising Guidelines
Notice To Members 93-35
Mail Vote — Proposed Amendment to the Procedures for Filling Vacancies on NASD<sup>®</sup> Nominating Committees;
Notice To Members 93-34
Nasdaq National Market(r) Additions, Changes, And Deletions as of April 23, 1993
Notice To Members 93-33
The Role of the NASD's Disciplinary Committees
Notice To Members 93-32
NASD Publishes Sanction Guidelines To Familiarize Members With Major Violations And Penalties
Notice To Members 93-31
SEC Requests Comments on Proposal To Establish Three-Business-Day Settlement For Securities Transactions
Notice To Members 93-30
NASD Provides SEC-Approved Clarifications and Interpretations to Recent Net Capital Rule Amendments
Notice To Members 93-29
SEC Approves Rule 10b-6 Passive Market Making and Changes to Notification Procedures Under Schedule D of the NASD By-Laws
Notice To Members 93-28
Nasdaq National Market(r) Additions, Changes, And Deletions as of March 23, 1993
Notice To Members 93-27
Memorial Day: Trade Date-Settlement Date Schedule
Notice To Members 93-26
NASD Urges Members to Provide Complete and Accurate Blue Sheet Submissions
Notice To Members 93-25
SEC Approves New Trade-Reporting Requirements for Late-Trade Reports
Notice To Members 93-24
SEC Approves Fifth-Character Identifier In Market-Maker Symbols for Non-Primary Trading Location
Notice To Members 93-23
SEC Approves New NASD Margin Rules
Notice To Members 93-22
Nasdaq National Market(r) Additions, Changes, And Deletions as of February 22, 1993
Notice To Members 93-21
Good Friday: Trade Date-Settlement Date Schedule
Notice To Members 93-20
NASD and Other SROs Launch Continuing Education Effort for Member Firms
Notice To Members 93-19
NASD Reminds Members to Settle Syndicate Accounts Within 90 Days of the Settlement Date
Notice To Members 93-18
SEC Approves Collateralized Mortgage Obligations Advertising Guidelines for Communications With the Public
Notice To Members 93-17
SEC Approves Changes To Uniform Practice Code Establishing Close-Out Procedures for Fails
Notice To Members 93-16
SEC Approves Code of Procedure Amendments That Permit the NASD to Institute Summary Revocation Proceedings For Failing to Pay an Arbitration Award
Notice To Members 93-15
Mail Vote — Proposed Amendments to Articles VII and XII of the NASD By-Laws and Article III of The NASD Rules of Fair Practice to Make All Rule Approval Procedures Under the By-Laws Uniform;
Notice To Members 93-9
SEC Approves Amendments to NASD<sup>®</sup> Rules Governing Transaction Reporting
Notice To Members 93-8
SEC Approval of Amendment Relating To the Payment of Gratuities or Anything Of Value by Members To Others
Notice To Members 93-14
Nasdaq National Market(r) Additions, Changes, And Deletions as of January 21, 1993
Notice To Members 93-13
Market-Maker Display of Size in Nasdaq Small-Cap Market<sup>SM</sup> Securities
Notice To Members 93-12
Questions and Answers About New NASD<sup>®</sup> Rules Governing Investment Company Sales Charges — Article III, Sections 26(b) and (d) of the Rules of Fair Practice
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