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
Oct 1, 1996 Notice to Members 96-71
Broker/Dealer and Agent Renewals for 1997
Oct 1, 1996 Notice to Members 96-70
NASD Reminds Members of Prohibition Against Commercial Use of Information Filed Under the Federal Election Campaign Act
Oct 1, 1996 Notice to Members 96-69
Industry/Regulatory Council on Continuing Education Issues Update on the Status of the Securities Industry Continuing Education Program
Oct 1, 1996 Notice to Members 96-68
NASD Solicits Member Comment on Proposed Rules Relating to Prospectus Disclosure of Cash and Non-Cash Compensation for the Sale of Investment Company Securities
Oct 1, 1996 Notice to Members 96-67
Bank Secrecy Act Recordkeeping Rule for Funds Transfers and Transmittals of Funds
Oct 1, 1996 Notice to Members 96-66
SEC Expands Scope of Conduct Rules and Other NASD Rules to Government Securities; Approves New Suitability Interpretation
Oct 1, 1996 Notice to Members 96-65
New SEC Rules on Order Handling and Execution of Customer Orders
Sep 1, 1996 Notice to Members 96-64
Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
Sep 1, 1996 Notice to Members 96-63
Columbus Day: Trade Date--Settlement Date Schedule
Sep 1, 1996 Notice to Members 96-62
SOES Tier Levels Set to Change October 1, 1996
Sep 1, 1996 Notice to Members 96-61
NASD Regulation Computerized Delivery Site Transition Continues
Sep 1, 1996 Notice to Members 96-60
Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities
Sep 1, 1996 Notice to Members 96-59
NASD Solicits Member Comment on Proposed Rule Governing Tape Recording of Telephone Conversations
Comment Period Expires October 31, 1996
Sep 1, 1996 Notice to Members 96-58
Approval of Amendments that Require Members to Provide Information to Other Regulators for Regulatory Purposes
Aug 1, 1996 Notice to Members 96-57
Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996
Aug 1, 1996 Notice to Members 96-56
Labor Day: Trade Date--Settlement Date Schedule
Aug 1, 1996 Notice to Members 96-55
NASD Regulation Offers Software to Help Members Comply with Continuing Education Requirements
Aug 1, 1996 Notice to Members 96-54
NASD Regulation Reminds Members of Reporting Obligations of MSRB Rules G-37 and G-38, and Announces Sanction Guidelines for Failure to Report Form G-37/G-38
Aug 1, 1996 Notice to Members 96-53
Approval of Amendments to the Definitions of Bona Fide Independent Market and Bona Fide Independent Market Maker
Aug 1, 1996 Notice to Members 96-52
NASD Solicits Member Comments on Proposed Rules Relating to the Sale of Variable Life Insurance Contracts and Variable Annuity Contracts
Jul 1, 1996 Notice to Members 96-51
Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
Jul 1, 1996 Notice to Members 96-50
Supervisory and Other Obligations Related to Use of Electronic Media
Jul 1, 1996 Notice to Members 96-49
Members Reminded to Report Address, Contact Changes to NASD
Jul 1, 1996 Notice to Members 96-48
New London Training Center; Registered Representatives in England, Scotland, and Wales Must Comply with Continuing Education Requirements
Jul 1, 1996 Notice to Members 96-47
NASD Regulation, Inc., Expanding Computerized Delivery Sites

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