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
May 1, 1997 Notice to Members 97-28
Approval of Investment Company Rankings Amendments
May 1, 1997 Notice to Members 97-27
Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
May 1, 1997 Notice to Members 97-26
NASD Regulation Files Amendments to Bank Broker/Dealer Rule with the SEC
May 1, 1997 Notice to Members 97-25
NASD Interpretive Position NASD Rule 3050 Transactions for or By Associated Persons
May 1, 1997 Notice to Members 97-24
"Limited Edition" Treasury Securities
May 1, 1997 Notice to Members 97-23
1997 Direct Participation Program Directory
Apr 1, 1997 Notice to Members 97-22
Fixed Income Pricing System Additions, Changes, and Deletions as of March 24, 1997
Apr 1, 1997 Notice to Members 97-21
Memorial Day: Trade Date Settlement Date Schedule
Apr 1, 1997 Notice to Members 97-20
Members Reminded to Report Executive Representative and Address Changes
Apr 1, 1997 Notice to Members 97-19
NASD Regulation and New York Stock Exchange Memorandum Discusses Sweep Report and Provides Guidance on Heightened Supervision Recommendations
Mar 1, 1997 Notice to Members FYI March 1997
For Your Information
Mar 1, 1997 Notice to Members 97-18
Fixed Income Pricing System Additions, Changes, and Deletions as of February 21, 1997
Mar 1, 1997 Notice to Members 97-17
SOES Tier Levels Set to Change April 1, 1997
Mar 1, 1997 Notice to Members 97-16
NASD Updates Year 2000 Activities and Advises Members
Mar 1, 1997 Notice to Members 97-15
SEC Approves Amendments to ACT Rules to Require Market Makers to Denote When They Have Effected an Exempt Short-Sale
Mar 1, 1997 Notice to Members 97-14
NASD Files with the SEC Proposed Amendment to Regulate the Disclosure of Values for Illiquid Direct Participation Program and Real Estate Investment Trust Securities on Customer Account Statements
Mar 1, 1997 Notice to Members 97-13
Bank Secrecy Act Recordkeeping Rule for Funds Transfers and Transmittals of Funds
Mar 1, 1997 Notice to Members 97-12
NASD Regulation Requests Comment on Proposed Rule Governing Use and Release of Customer Confidential Financial Information
Comment Period Expired April 30, 1997
Mar 1, 1997 Notice to Members 97-11
NASD Regulation Requests Comment on Proposed Rule Restricting Payment of Referral Fees by NASD Members
Comment Period Expired April 30, 1997
Mar 1, 1997 Notice to Members 97-10
SEC to Approve Amendments to NASD Rules to Facilitate Compliance with SEC Regulation M
Mar 1, 1997 Notice to Members 97-09
Industry/Regulatory Council on Continuing Education Issues Continuing Education Program Firm Element Advisory
Mar 1, 1997 Notice to Members 97-08
SEC Approves Quotation and Transaction Reporting of Direct Participation Programs
Feb 1, 1997 Notice to Members FYI February 1997
For Your Information
Feb 1, 1997 Notice to Members 97-07
Fixed Income Pricing System Additions, Changes, and Deletions as of January 24, 1997
Feb 1, 1997 Notice to Members 97-06
Good Friday: Trade Date Settlement Date Schedule

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