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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 90-54
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of July 13, 1990
Notice To Members 90-53
Labor Day: Trade Date-Settlement Date Schedule
Notice To Members 90-52
SEC Approval of Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information
Notice To Members 90-51
SEC Approval of Amendment to Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities
Notice To Members 90-50
Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying and Obtaining Approval of Employer Prior to Opening Securities Account With Another Member; Last Date for Comment: September 4, 1990
Last Date for Comment: September 4, 1990
Notice To Members 90-49
SIPC Trustee Appointed for First Ohio Securities Company
Notice To Members 90-48
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of June 14, 1990
Notice To Members 90-47
Amendments to Code of Arbitration Procedure
Notice To Members 90-46
Reporting Disciplinary Information on Form BD
Notice To Members 90-45
SEC Approval to Articles II and III of the NASD's Code of Procedure Regarding Board of Governors and Committee Proceedings in Disciplinary Actions, Effective August 1, 1990
Notice To Members 90-44
SEC Approval of Amendment to Code of Procedure Regarding Summary Remedial Proceedings, Effective July 1, 1990
Notice To Members 90-43
Proposed Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events; Last Date for Comment: August 3, 1990
Last Date for Comment: August 3, 1990
Notice To Members 90-42
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of May 14, 1990
Notice To Members 90-41
Independence Day: Trade Date-Settlement Date Schedule
Notice To Members 90-40
SEC Approval of an Amendment to Schedule H to the NASD By-Laws Requiring Members to Demonstrate Compliance With Rule 15c2-11 Before Initiating Quotations in a Quotation Medium
Notice To Members 90-39
Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Date for Comment: July 5, 1990
Last Date for Comment: July 5, 1990
Notice To Members 90-38
Proposed Concept for Continuing Assessment of Registered Representatives in the Form of Amendment to Part HI, Section (1)(d) of Schedule C to the NASD By-Laws; Last Date for Comment: July 31, 1990
Last Date for Comment: July 31, 1990
Notice To Members 90-37
Proposed New Rule Re: Handling Customer Limit Orders; Last Voting Date: July 5, 1990
Last Voting Date: July 5, 1990
Notice To Members 90-36
Proposed Amendments to the NASD By-Laws Implementing the Recommendations of the Special Committee on NASD Structure and Governance; Last Voting Date: July 5, 1990
Last Voting Date: July 5, 1990
Notice To Members 90-35
SEC Approval for and Startup of the OTC Bulletin Board
Notice To Members 90-34
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of April 12, 1990
Notice To Members 90-33
Memorial Day: Trade Date-Settlement Date Schedule
Notice To Members 90-32
Revised Forms U-4 and U-5 Go Into Effect
Notice To Members 90-31
Electronic Filing of Forms LJ-5 and Amendments to Form U-4
Notice To Members 90-30
New NASDAQ Listing and Maintenance Standards
Notice To Members 90-29
SEC Approval of New Schedule I to the NASD By-Laws Establishing and Setting Rules for The PORTAL<sup>SM</sup> Market for Primary Distributions and Secondary Trading of Private Placements
Notice To Members 90-28
Automated Confirmation Transaction (ACT) Service Fees
Notice To Members 90-27
Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Re: Disclosure of Deferred Sales Charges on Confirmations of the Sale of Investment Company Shares; Last Voting Date: June 5, 1990
Last Voting Date: June 5, 1990
Notice To Members 90-26
Proposed Amendments to Subsections (b)(4) and (d) of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation of Asset-Based Sales Charges by the NASD; Last Date for Comment: May 31, 1990
Last Date for Comment: May 31, 1990
Notice To Members 90-25
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of March 15, 1990
Notice To Members 90-24
Good Friday: Trade Date-Settlement Date Schedule
Notice To Members 90-23
Administrative Conversion of the Series 7 General Securities Representative Examination to PLATO* Computer-Based Delivery
Notice To Members 90-22
SOES Tier Levels to Change for 416 Issues on April 16, 1990
Notice To Members 90-21
Collection of Fines and Costs in Disciplinary Proceedings
Notice To Members 90-20
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 of the NASD Rules of Fair Practice; Last Date for Comment: May 5, 1990
Last Date for Comment: May 5, 1990
Notice To Members 90-19
Proposed Amendments to the NASD By-Laws and Code of Procedure to Implement The Recommendations of the Special Committee on NASD Structure and Governance; Last Date for Comment: April 30, 1990
Last Date for Comment: April 30, 1990
Notice To Members 90-18
SEC Staff Interpretations of Rule 15c2-6
Notice To Members 90-17
NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of February 9, 1990
Notice To Members 90-16
New Interim Criteria for Initial Inclusion in the NASDAQ System
Notice To Members 90-15
Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990
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