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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
For Your Information - January 1991
For Your Information
Notice To Members 91-8
Annual Check List of NASD Notices to Members
Notice To Members 91-7
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of December 12, 1990
Notice To Members 91-6
Trade Date-Settlement Date Schedule for 1991
Notice To Members 91-5
NASD 1991 Holiday Schedule
Notice To Members 91-4
1991 Renewal Rosters and Final Adjusted Invoices
Notice To Members 91-3
Implementation of Matching Service in SOES Limit-Order File
Notice To Members 91-2
Request for Comments From Members, Issuers, and Investors on Nasdaq Short-Sale Rule; Last Date for Comments: March 1, 1991
Last Date for Comments: March 1, 1991
Notice To Members 91-1
Proposed Amendments to the NASD Rules of Fair Practice Relating to Options Communications; Last Voting Date: February 4, 1991
Last Voting Date: February 4, 1991
Notice To Members 90-85
SIPC Trustee Appointed for Carolina First Securities Group
Notice To Members 90-84
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of November 13, 1990
Notice To Members 90-83
Christmas Day and New Year's Day - Trade Date-Settlement Date Schedule
Notice To Members 90-82
Inclusion of Non-SRO Arbitration Forum as an Alternative Forum in Predispute Arbitration Agreements.
Notice To Members 90-81
Amendments to the Code of Procedure to Change the Disciplinary Process and Provide That Decisions of the National Business Conduct Committee Are Final Actions of the NASD
Notice To Members 90-80
SEC Approval of Risk Management Functions of the Automated Confirmation Transaction Service
Notice To Members 90-79
Receipt of Differential Compensation for Soliciting Proxies in Partnership Roll-Ups; Last Date for Comments: January 15, 1991
Last Date for Comments: January 15, 1991
Notice To Members 90-78
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of October 11, 1990
Notice To Members 90-77
Thanksgiving Day -Trade Date-Settlement Date Schedule
Notice To Members 90-76
Broker-Dealer and Agent Renewals for 1991
Notice To Members 90-75
New Requirement for Market Makers to Display Size in Quotations
Notice To Members 90-74
Proposed Amendment to Article IV, Section 1 of the NASD Rules of Fair Practice Re: 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 Penalty For a Rule Violation;
Notice To Members 90-73
Proposed 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; Last Voting Date: December 5, 1990
Last Voting Date: December 5, 1990
Notice To Members 90-72
SIPC Trustee Appointed for DFW Clearing, Inc.
Notice To Members 90-71
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of September 13, 1990
Notice To Members 90-70
Veteran's Day - Trade Date-Settlement Date Schedule
Notice To Members 90-69
Amendment to Schedule C of the NASD By-Laws Regarding Use of the Modified General Securities Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom, Effective Immediately
Notice To Members 90-68
Amendment to Schedule C of the NASD By-Laws Regarding Requalification by Examination For Persons Whose Registration Has Been Revoked, Effective October 1, 1990
Notice To Members 90-67
SOES Tier Levels to Change for 450 Issues on October 15, 1990
Notice To Members 90-66
Proposed Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital
Notice To Members 90-65
Suggested Customer Suitability Statement and Agreement to Purchase Form for Members' Compliance With SEC Rule 15c2-6
Notice To Members 90-64
Amendments to the NASD By-Laws and to Schedule B Thereof to Modify the Size and Composition of the Board of Governors and the Number and Configuration of the Districts, Effective September 4, 1990
Notice To Members 90-63
Amendment to Proposed Rule Re: Disclosure of Payment for Order Flow Practices On Customer Confirmations; Last Voting Date: November 5, 1990
Last Voting Date: November 5, 1990
Notice To Members 90-62
Proposed Amendment Re: Use and Disclosure of Member Names; Last Voting Date: November 5, 1990
Last Voting Date: November 5, 1990
Notice To Members 90-61
Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 and Article V, Sections 1 and 3 of the NASD Rules of Fair Practice Re: Retention of Jurisdiction Over Member Firms and Associa
Notice To Members 90-60
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of August 13, 1990
Notice To Members 90-59
Columbus Day: Trade Date-Settlement Date Schedule
Notice To Members 90-58
Clarification of Schedule H Reporting Requirements
Notice To Members 90-57
Implementation of Amendment to Rules of Practice and Procedures for the Small Order Execution System Re: Market Makers' Entry of Agency Orders into SOES, Effective July 27, 1990
Notice To Members 90-56
Proposed Amendments to Subsections (b) "Definitions" and (d) ("Sales Charge Rule") of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation By the NASD of Mutual Fund Asset-Based Sales Charges; Last Voting
Last Voting
Notice To Members 90-55
SIPC Trustee Appointed for Blinder, Robinson & Company, Inc.
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