Notices

FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pub Title Description
Nov 1, 1998 Notice to Members November 1998
Notice of Meeting and Proxy
Nov 1, 1998 Notice to Members 98-95
Fixed Income Pricing System Additions, Changes, and Deletions as of September 23, 1998
Nov 1, 1998 Notice to Members 98-94
SEC Approves Rule Change Relating to Mutual Fund Breakpoint Sales
Nov 1, 1998 Notice to Members 98-93
NASD Informs Members of District Committee Members and District Nominating Committee Members
Nov 1, 1998 Notice to Members 98-91
NASD Alerts Members to Their Obligations Concerning Cold Calling and Advertising to Persons in the United Kingdom
Nov 1, 1998 Notice to Members 98-90
New Arbitrator List Selection Rules and Monetary Thresholds for Simplified and Single Arbitration Cases Take Effect
Nov 1, 1998 Notice to Members 98-92
NASD Regulation Articulates Position on the Application of NASD Rule 2680 to U.S. Broker/Dealers that Intermediate Transactions Pursuant to Exchange Act Rule 15a-6(a)(3)
Oct 1, 1998 Notice to Members October 1998
Year 2000 Update
Oct 1, 1998 Notice to Members FYI October 1998
For Your Information
Oct 1, 1998 Notice to Members 98-89
NASD Announces Changes in CRD Filing Fees
Oct 1, 1998 Notice to Members 98-88
Underwriting Compensation in Public Offerings
Oct 1, 1998 Notice to Members 98-87
Fixed Income Pricing System Additions, Changes, and Deletions as of August 24, 1998
Oct 1, 1998 Notice to Members 98-86
Columbus Day, Veterans Day, and Thanksgiving Day: Trade Date -- Settlement Date Schedule
Oct 1, 1998 Notice to Members 98-85
SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked and Crossed Markets, and Members' Obligation to Provide Nasdaq with Certain Information
Oct 1, 1998 Notice to Members 98-84
Broker/Dealer and Agent Renewals for 1999
Oct 1, 1998 Notice to Members 98-83
SEC Approves Rule Change Relating to Standards for Individual Correspondence
Effective November 16, 1998
Oct 1, 1998 Notice to Members 98-82
SEC Approves Amendments to Automated Confirmation Transaction Service and Transaction Reporting Rules
Oct 1, 1998 Notice to Members 98-81
NASD Regulation Requests Comment on Whether Some Rules Should be Repealed as Obsolete or Amended to Provide Institutional Customer Exception
Comment Period Expired February 16, 1999
Sep 1, 1998 Notice to Members FYI September 1998
For Your Information
Sep 1, 1998 Notice to Members 98-80
Nominees for NASD Board of Governors
Sep 1, 1998 Notice to Members 98-79
Fixed Income Pricing System Additions, Changes, and Deletions as of July 23, 1998
Sep 1, 1998 Notice to Members 98-78
NASD Clarifies Operation of the Limit Order Protection Rule During Unusual Market Conditions
Sep 1, 1998 Notice to Members 98-77
Executive Representatives Must Maintain Internet Electronic Mail Account by January 1, 1999
Complimentary Hard Copy Distribution of Key Publications to End January 1, 1999
Sep 1, 1998 Notice to Members 98-76
Maximum SOES Order Sizes Set to Change October 1, 1998
Sep 1, 1998 Notice to Members 98-75
SEC Approves Rule Change Relating to Non-Cash Compensation for Mutual Funds and Variable Products

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