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
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
Feb 1, 1997 Notice to Members 97-05
Annual Check List of NASD Notices to Members
Feb 1, 1997 Notice to Members 97-04
NASD Reminds Members About Treasury's Foreign Assets Control Regulations
Jan 1, 1997 Notice to Members FYI January 1997
For Your Information
Jan 1, 1997 Notice to Members 97-03
Fixed Income Pricing System Additions, Changes, and Deletions as of December 23, 1996
Jan 1, 1997 Notice to Members 97-02
Presidents' Day Trade Date Settlement Date
Jan 1, 1997 Notice to Members 97-01
Approval of Telemarketing Amendments
Dec 1, 1996 Notice to Members FYI December 1996
December FYI
Dec 1, 1996 Notice to Members 96-91
Fixed Income Pricing System Additions, Changes, and Deletions as of November 29, 1996
Dec 1, 1996 Notice to Members 96-90
Trade Date -- Settlement Date Schedule for 1997
Dec 1, 1996 Notice to Members 96-89
NASD 1997 Holiday Schedule
Dec 1, 1996 Notice to Members 96-88
SOES Tier Levels Set to Change January 2, 1997
Dec 1, 1996 Notice to Members 96-87
NASD Regulation PROCTOR Transition to Sylvan Continues
Dec 1, 1996 Notice to Members 96-86
NASD Notice to Members 96-86 - December 1996
Dec 1, 1996 Notice to Members 96-85
Customer Complaint Reporting Rule Update
Dec 1, 1996 Notice to Members 96-84
NASD Regulation Solicits Comment on the Use of Bond Mutual Fund Risk Ratings in Supplemental Sales Literature
Comment Period Expires February 24, 1997
Dec 1, 1996 Notice to Members 96-83
NASD Regulation Solicits Comment on Proposed Rule Relating to Prohibition on Members Receiving any Payment to Publish a Quotation, Make a Market in an Issuer’s Securities, or Submit an Application in Connection Therewith
Comment Period Expires February 3, 1997

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