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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 91-48
Proposed New Rule Re: Definition of Branch Office in Article III, Section 27(g)(2) and (g)(3) of the Rules of Fair Practice; Last Voting Date: September 25, 1991
Last Voting Date: September 25, 1991
Notice To Members 91-45
NASD/NYSE Joint Memo on Chinese Wall Policies and Procedures
Notice To Members 91-47
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of June 12, 1991
Notice To Members 91-46
Request for Comments on Exemption for Directly Marketed Mutual Funds From Article III, Section 21(c)(2)(ii) and (iii) of the Rules of Fair Practice Re: Customer Account Information Regarding Employment; Last Date for Comments: July 31, 1991
Last Date for Comments: July 31, 1991
Notice To Members 91-44
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of May 13, 1991
Notice To Members 91-43
Independence Day — Trade Date-Settlement Date Schedule
Notice To Members 91-42
Appointment of SIPC Trustees for Two Firms
Notice To Members 91-41
Department of Treasury Proposes Significant Amendments to the Regulations Issued on July 24, 1987 Under the Government Securities Act of 1986; Last Date for Comments: June 17, 1991
Last Date for Comments: June 17, 1991
Notice To Members 91-40
SEC Approval of Amendment Regarding Disclosure of Contingent Deferred Sales Charges on Confirmations
Notice To Members 91-39
Limitations on Use of "Negative Response" Letters in Switching Customers From One Mutual Fund to Another
Notice To Members 91-38
Market-Maker Obligations in SelectNet<sup>SM</sup>
Notice To Members 91-37
Market-Maker Obligations With Regard to Display of Size in Quotations
Notice To Members 91-36
Adoption of Amendments to SEC Rule 15c2-11 Regarding Initiation or Resumption of Quotations Without Specified Information
Notice To Members 91-35
Proposed SEC "Penny Stock" Disclosure Rules
Notice To Members 91-34
Request for Comments on Amendments to the Filing Requirements of the Interpretation of the Board of Governors — Review of Corporate Financing; Last Date for Comments: July 1, 1991
Last Date for Comments: July 1, 1991
Notice To Members 91-33
Request for Comments on Proposed Nonquantitative Designation Criteria for Partnerships Listed on the Nasdaq National Market System; Last Date for Comments: July 1, 1991
Last Date for Comments: July 1, 1991
Notice To Members 91-32
Request for Comments on Compensation Arrangements for Activities of Registered Representatives Who Are Also Registered With the Securities and Exchange Commission as Investment Advisers; Last Date for Comments: July 1, 1991
Last Date for Comments: July 1, 1991
Notice To Members 91-31
Solicitation of Members' Comments on Proposals to Curb SOES Abuse; Last Date for Comments: June 21, 1991
Last Date for Comments: June 21, 1991
Notice To Members 91-30
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of April 12, 1991
Notice To Members 91-29
Memorial Day — Trade Date-Settlement Date Schedule
Notice To Members 91-28
Availability of the Series 17 Limited Registered Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom As NASD General Securities Representatives
Notice To Members 91-27
SEC Approval of Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member
Notice To Members 91-26
SEC Approval of Amendment Re: Use and Disclosure of Member Names
Notice To Members 91-25
Request for Comments on Proposed Amendments to Article III, Sections 26 and 29 of The NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Cont
Notice To Members 91-24
Proposed New Rule Re: Suspension or Cancelation of Registration for Failure to Pay Fees, Dues, or Other Assessments; Last Voting Date: June 4, 1991
Last Voting Date: June 4, 1991
Notice To Members 91-23
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of March 13, 1991
Notice To Members 91-22
SOES Tier Levels to Change for 417 Issues on April 15, 1991
Notice To Members 91-21
Amendments to Schedule H Eliminating the Price and Volume Reporting Thresholds, And Expanding the Definition of Non-Nasdaq Security
Notice To Members 91-20
Adoption of Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital
Notice To Members 91-19
Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice Regarding the Suspension of the Membership of Any Member or of the Registration Of a Person Associated With a Member for a Definite Period Assessed as a Sanction For a
Notice To Members 91-18
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of February 8, 1991
Notice To Members 91-17
Good Friday — Trade Date-Settlement Date Schedule
Notice To Members 91-16
New Statutory Disqualification Categories; Notice to NASD Required No Later Than April 30, 1991
Notice to NASD Required No Later Than April 30, 1991
Notice To Members 91-9
Request for Comments From Members on Proposed Changes to the Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws; Last Date for Comments: April 1, 1991
Last Date for Comments: April 1, 1991
Notice To Members 91-15
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of January 11, 1991
Notice To Members 91-14
Presidents' Day — Trade Date-Settlement Date Schedule
Notice To Members 91-13
NASD Charges for Reviewing Advertisements and Sales Literature
Notice To Members 91-12
Board of Governors' Approval of Service Charges for SelectNet and SOES
Notice To Members 91-11
SEC Approval of Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events
Notice To Members 91-10
Revised Entry and Annual Fees for Nasdaq Issuers — Approval of Amendments to Schedule D
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