Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Notice To Members 90-4 | Trade Date-Settlement Date Schedule for 1990
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| Notice To Members 90-3 | Registration Renewal Rosters and Final Adjusted Invoices
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| Notice To Members 90-2 | Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons
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| Notice To Members 90-1 | Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration
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| Notice To Members 89-81 | NASDAQ National Market Additions, Changes, and Deletions As of November 13, 1989
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| Notice To Members 89-80 | Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
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| Notice To Members 89-79 | NASD 1990 Holiday Schedule
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| Notice To Members 89-78 | Availability of Two New NASD Categories of Registration and Qualification Examinations
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| Notice To Members 89-77 | Proposed Amendments to Article III, Section 12 of the NASD Rules of Fair Practice Re: Disclosure on Confirmations When Investment Companies Impose a Deferred Sales Charge on Redemption; Last Date For Comment: January 2, 1990
Last Date For Comment: January 2, 1990
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| Notice To Members 89-76 | Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Set for First Quarter 1990
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| For Your Information - November 1989 | For Your Information (November)
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| Notice To Members 89-75 | NASDAQ National Market Additions, Changes, and Deletions as of October 12, 1989
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| Notice To Members 89-74 | Thanksgiving Day: Trade Date-Settlement Date Schedule
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| Notice To Members 89-73 | Revisions to Certain NASD Qualification Examinations
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| Notice To Members 89-72 | Broker-Dealer and Agent Renewals for 1989-90
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| Notice To Members 89-71 | SEC Approval of Amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice on Notice to Membership of Disciplinary Actions, Publication of <em>Sanctions, and Availability of NASD Manual</em> — Effective September 19, 1989
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| Notice To Members 89-70 | Automated Submission of Trading Data
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| Notice To Members 89-69 | SEC Proposes Significant Amendments to the Net Capital Rule; Last Date for Comments: December 18, 1989
Last Date for Comments: December 18, 1989
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| For Your Information - October 1989 | For Your Information (October)
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| Notice To Members 89-68 | Nasdaq National Market Additions, Changes, and Deletions as of September 14, 1989
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| Notice To Members 89-67 | SOES Tier Levels to Change for 521 Issues on October 9, 1989
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| Notice To Members 89-66 | Size of "Normal" Unit of Trading For NASDAQ-Listed Debentures
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| Notice To Members 89-65 | SEC Adoption of Rule 15c2-6 Re: Sales Practice and Suitability Requirements for Certain Low-Priced Securities
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| Notice To Members 89-64 | SEC Approval of Rule of Fair Practice Amendment Re: The Conduct of Accounts Engaged in Uncovered Short Option Transactions
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| For Your Information - September 1989 | For Your Information
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| Notice To Members 89-63 | NASDAQ National Market Additions, Changes, and Deletions as of August 11, 1989
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| Notice To Members 89-62 | Columbus Day Trade Date-Settlement Date Schedule
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| Notice To Members 89-61 | NASDAQ National Market Additions, Changes, and Deletions as of July 12, 1989
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| Notice To Members 89-60 | Labor Day Trade Date-Settlement Date Schedule
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| Notice To Members 89-59 | Report on Group of Thirty Recommendations Regarding Clearance and Settlement and Request for Comments
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| Notice To Members 89-58 | Amendment Re: Predispute Arbitration Clauses in Customer Agreements
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| Notice To Members 89-57 | SEC Approval of By-Law and Rule of Fair Practice Amendments on Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees — Effective September 1, 1989
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| Notice To Members 89-56 | Proposed Amendments To Nasd Uniform Practice Code Re: Mandatory Buy-In for Short Sales; Last Date for Comments: September 1, 1989
Last Date for Comments: September 1, 1989
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| Notice To Members 89-55 | Proposed Amendments to the NASD Uniform Practice Code Re: Clearly Erroneous Trades; and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances; Last Date for Comments: September 1, 1989
and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances; Last Date for Comments: September 1, 1989
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| Notice To Members 89-54 | Correction to Notice to Members 89-48 — All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective August 1, 1989
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| For Your Information - July 1989 | For Your Information (July)
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| Notice To Members 89-53 | NASDAQ National Market Additions, Changes, and Deletions as of June 14, 1989
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| Notice To Members 89-52 | SEC Approval of Amendment to Schedule C of By-Laws to Establish Waiting Periods Between Attempts to Pass Qualification Examinations — Effective July 17, 1989
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| Notice To Members 89-51 | Proposed Amendments to Article III, Section 26, of the NASD Rules of Fair Practice Re: Cash and Noncash Concessions in Connection with the Retail Sale of Investment-Company Securities — Last Date for Comments: August 4, 1989
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| Notice To Members 89-50 | NASD Initiates Computerized Extension Request Service for Regulation T And SEC Rule 15c3-3; New Form Required
New Form Required
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