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
Aug 1, 1997 Notice to Members 97-52
SEC Approves Amendments Relating to Market Maker Registration and Primary Market Maker Eligibility by Managers And Co-Managers of Secondary Offerings
Aug 1, 1997 Notice to Members 97-51
NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
Aug 1, 1997 Notice to Members 97-50
NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
Comment Period Expired October 15, 1997
Aug 1, 1997 Notice to Members 97-49
Compliance with SEC Order Handling Rules and Nasdaq Trading Rules
Aug 1, 1997 Notice to Members 97-48
NASD Regulation Requests Comment on Amendments to Rules Governing Sale and Distribution of Investment Company Shares and Variable Insurance Products
Comment Period Expired September 29, 1997
Aug 1, 1997 Notice to Members 97-47
NASD Regulation Requests Comment on Presentation of Related Performance Information
Comment Period Expired September 29, 1997
Aug 1, 1997 Notice to Members 97-46
SEC Approves Rule Prohibiting Payments for Market Making
Aug 1, 1997 Notice to Members 97-45
Corrected List of SOES Tier Size Levels Effective July 1, 1997
Jul 1, 1997 Notice to Members 97-44
Fixed Income Pricing System Additions, Changes, and Deletions as of June 20, 1997
Jul 1, 1997 Notice to Members 97-43
SEC Amends Broker/Dealer Record Retention Rule
Jul 1, 1997 Notice to Members 97-42
SEC Approves Amendments Relating To The Release Of Disciplinary Information
Jun 1, 1997 Notice to Members FYI June 1997
For Your Information
Jun 1, 1997 Notice to Members 97-41
NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market
Comment Period Expired July 15, 1997
Jun 1, 1997 Notice to Members 97-40
Fixed Income Pricing System Additions,Changes, And Deletions As Of May 22, 1997
Jun 1, 1997 Notice to Members 97-39
Independence Day: Trade Date Settlement Date Schedule
Jun 1, 1997 Notice to Members 97-38
SOES Tier Levels Set to Change July 1, 1997
Jun 1, 1997 Notice to Members 97-37
NASD Regulation Requests Comment on Proposed Definition of Correspondence for Rules Regarding Communications with the Public
Comment Period Expired July 15, 1997
Jun 1, 1997 Notice to Members 97-36
NASD Interpretive Letters
Jun 1, 1997 Notice to Members 97-35
Treasury's Foreign Assets Control Office Updates List of Specially Designated Persons and Entities
Jun 1, 1997 Notice to Members 97-34
Depository Trust Company to Launch Initial Public Offering Tracking System
May 1, 1997 Notice to Members FYI May 1997
For Your Information
May 1, 1997 Notice to Members 97-33
Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1997
May 1, 1997 Notice to Members 97-32
NASD Regulation Files Proposed Changes to Disciplinary, Election, and Membership Procedures with the SEC
May 1, 1997 Notice to Members 97-31
NASD Reminds Registered Persons of Continuing Obligation to Update NASD Records
May 1, 1997 Notice to Members 97-30
NASD Regulation Requests Comments on Amendments to the Free-Riding and Withholding Interpretation
Comment Period Expired June 16, 1997

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