Notices

Regulatory Notice 10-48
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
Tuesday, October 12, 2010
Regulatory Notice 10-24
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Wednesday, April 28, 2010
Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier
Thursday, August 19, 2010
Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Friday, September 17, 2010
Regulatory Notice 10-07
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Wednesday, January 27, 2010
Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Monday, February 08, 2010
Trade Reporting Notice - 2/24/09
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Tuesday, February 24, 2009
Regulatory Notice 09-21
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
Wednesday, April 15, 2009
Regulatory Notice 09-08
SEC Approves Amendments to FINRA Trade Reporting Rules
Friday, January 23, 2009
Regulatory Notice 08-74
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
Monday, December 08, 2008
Trade Reporting Notice - 8/14/08
Trade Reporting Frequently Asked Questions
Thursday, August 14, 2008
Regulatory Notice 07-63
FINRA Adopts Rule Amendments Relating to Reporting of Odd-Lot Transactions
Thursday, December 13, 2007
Regulatory Notice 07-46
FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
Friday, September 28, 2007
Notice to Members 07-23
NASD Trade Reporting Requirements Related to Regulation NMS
Friday, May 11, 2007
Regulatory Notice 07-38
FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades
Wednesday, August 29, 2007
Notice to Members 06-42
Pilot Program to Permit Additional Market Participant Identifier Functionality on the Alternative Display Facility
Tuesday, August 15, 2006
Notice to Members 06-67
SEC Approves Amendments to NASD Rules to Align Them with Regulation NMS;
Tuesday, November 28, 2006
Notice to Members 05-30
SEC Approves New Alternative Display Facility (ADF) Pilot Rule Giving NASD Authority to Receive and Review Complaints Alleging Denial of Access to an ADF Market Participant Quote
Tuesday, April 26, 2005
Notice to Members 05-33
Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO
Thursday, April 28, 2005
Notice to Members 04-68
SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access
Monday, September 20, 2004
Notice to Members 02-01
Rule Proposal Regarding Nasdaq Separation and the Alternative Display Facility.
Friday, December 28, 2001
Notice to Members 02-45
Alternative Display Facility (ADF) Nine-Month Pilot Approved for Trading in Nasdaq Securities
Monday, July 29, 2002