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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 93-12
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
Notice To Members 93-9
SEC Approves Amendments to NASD<sup>®</sup> Rules Governing Transaction Reporting
Notice To Members 93-6
Presidents' Day — Trade Date-Settlement Date Schedule
Notice To Members 93-3
SEC Approval of Amendments to Branch-Office Fees
For Your Information - January 1993
For Your Information
Notice To Members 93-5
Annual Check List of NASD Notices to Members
Notice To Members 93-2
Market-Maker Obligations With Regard to Display of Size in Quotations
Notice To Members 93-7
Nasdaq National Market Additions, Changes, And Deletions As of December 21, 1992
Notice To Members 93-4
1993 Renewal Rosters And Final Adjusted Invoices
Notice To Members 93-1
SEC Approval of Amendment to Article III, Section 15 of the NASD® Rules of Fair Practice; Effective December 3, 1992
Effective December 3, 1992
Notice To Members 92-72
SEC Adopts Significant Amendments to the Net Capital Rule, Proposes Others for Public Comment
Notice To Members 92-70
Trade Date-Settlement Date Schedule for 1993
Notice To Members 92-67
NASD® Responds to SEC's Market 2000 Concept Release
Notice To Members 92-69
NASD 1993 Holiday Schedule
Notice To Members 92-66
Quotation and Trade-Reporting Requirements for Members Dealing in High-Yield Bonds
Notice To Members 92-71
Nasdaq National Market® Additions, Changes, and Deletions as of November 20, 1992
Notice To Members 92-68
Federal and State Legislative Update
Notice To Members 92-65
SEC Approval of Amendments Concerning the Exclusion of Class-Action Matters From Arbitration Proceedings and Requiring That Predispute Arbitration Agreements Include a Notice That Class-Action Matters May Not Be Arbitrated
Notice To Members 92-62
SOES Tier Levels to Change for 538 Issues on December 1, 1992
Notice To Members 92-59
SEC Approval of Amendments Requiring Prefiling of Advertisements for Collateralized Mortgage Obligations
Notice To Members 92-64
Nasdaq National Market Additions, Changes, and Deletions as of October 26, 1992
Notice To Members 92-56
Proposed Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) and Proposed Amendments to Article III, Section 35 of the Rules of Fair Practice to Incorporate Items From
Notice To Members 92-61
Revised Form BD Goes Into Effect November 16, 1992
Notice To Members 92-58
SEC Approval of Amendment to Section 13, Schedule E to the NASD By-Laws Effective October 1, 1992
Notice To Members 92-63
Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
Notice To Members 92-60
SEC Approval of Amendments Relating to Periodic Account Statements
Notice To Members 92-57
Proposed Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Voting Date: December 21, 1992
Last Voting Date: December 21, 1992
Notice To Members 92-54
Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
Notice To Members 92-51
SEC Approval of Amendments Relating to "When, as and if Issued" and "When, As and if Distributed" Contracts; Effective November 2, 1992
Effective November 2, 1992
Notice To Members 92-53
Underwriting Compensation Received by Members in Public Corporate Equity Offerings
Notice To Members 92-50
Procedures Regarding Securities and Exchange Commission Rule 15c2-11 and Schedule H, Section 4 of the NASD® By-Laws
Notice To Members 92-55
Nasdaq National Market Additions, Changes, and Deletions as of September 25, 1992
Notice To Members 92-52
Broker/Dealer and Agent Renewals for 1992-93
Notice To Members 92-48
Columbus Day — Trade Date-Settlement Date Schedule
Notice To Members 92-47
The Role of the NASD's Standing Committees
Notice To Members 92-49
Nasdaq National Market Additions, Changes, and Deletions as of August 25, 1992
Notice To Members 92-46
Nasdaq National Market Additions, Changes, and Deletions as of July 28, 1992
Notice To Members 92-43
Labor Day — Trade Date-Settlement Date Schedule
Notice To Members 92-45
SEC Adopts Temporary Risk Assessment Rules
Notice To Members 92-42
Penny Stock Risk Disclosure Document
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