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 89-49 | SEC Approval of Amendment to Schedule C of NASD By-Laws to Require Members To Submit Applications for and Maintain the Registration of Only Such Persons Who Intend to Engage or Are Engaged in the Investment Banking or Securities Business For the Member
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| Notice To Members 89-48 | All Non-NASDAQ OTC Securities Are Subject To Price And Volume Reporting Effective September 1, 1989
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| Notice To Members 89-47 | Notice to Membership of Disciplinary Actions; Publication of Sanctions; Availability of NASD Manual; Last Voting Date: August 11, 1989
Publication of Sanctions; Availability of NASD Manual; Last Voting Date: August 11, 1989
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| For Your Information - June 1989 | For Your Information (June)
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| Notice To Members 89-46 | NASDAQ National Market System Additions, Changes, and Deletions As of May 15, 1989
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| Notice To Members 89-45 | Independence Day Trade Date-Settlement Date Schedule
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| Notice To Members 89-44 | Amendment to Uniform Practice Code Re: Mandatory Buy-Ins for Cash or Guaranteed Delivery, Effective June 1, 1989
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| For Your Information - May 1989 | For Your Information (May)
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| Notice To Members 89-43 | NASDAQ National Market System Additions, Changes, and Deletions As of April 13, 1989
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| Notice To Members 89-42 | Memorial Day Trade Date-Settlement Date Schedule
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| Notice To Members 89-41 | SEC Approval of By-Laws Amendment on Filling Vacancies on District Committees — Effective March 8, 1989
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| Notice To Members 89-40 | Proposed Amendment to Code of Procedure Re: Summary Remedial Proceedings; Last Date for Comments: June 1, 1989
Last Date for Comments: June 1, 1989
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| Notice To Members 89-39 | Proposed New Rule Re: Handling Customer Limit Orders Last Voting Date: June 1, 1989
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| For Your Information - April 1989 | For Your Information (April)
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| Notice To Members 89-38 | Quarterly Check List of NASD Notices to Members
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| Notice To Members 89-37 | NASDAQ National Market System Additions, Changes, and Deletions As Of March 13, 1989
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| Notice To Members 89-36 | SIPC Trustee Appointed for Investors Center, Inc.
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| Notice To Members 89-35 | Misuse of "No Load" Terminology in the Offer of Mutual Funds That Have Contingent Deferred Sales Loads
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| Notice To Members 89-34 | Guidelines For Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures
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| Notice To Members 89-33 | Proposed Amendments to Article III, NASD Code of Procedure Re: Board of Governors' Reviews of Disciplinary Actions; Last Date for Comments: May 1, 1989
Last Date for Comments: May 1, 1989
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| For Your Information - March 1989 | For Your Information (March)
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| Notice To Members 89-32 | Temporary Receiver Appointed for Investors Center, Inc.
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| Notice To Members 89-31 | NASDAQ National Market System Additions, Changes, and Deletions as of February 10, 1989
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| Notice To Members 89-30 | Good Friday Trade Date-Settlement Date Schedule
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| Notice To Members 89-29 | SOES Tier Levels to Change for 575 Issues on March 17, 1989
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| Notice To Members 89-28 | Approval and Immediate Effectiveness of Amendment to Definition of ";Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
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| Notice To Members 89-27 | Treasury Finalizes Two Amendments Re: Currency Transactions; Reissues Current Currency Transaction Report Form
Reissues Current Currency Transaction Report Form
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| Notice To Members 89-26 | Securities and Exchange Commission's Proposed Rule 15c2-6 Re: Sales Practices in Pink Sheet Stocks
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| Notice To Members 89-25 | SIPC Reimposes Assessments Based on a Percentage of Gross Revenue
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| Notice To Members 89-24 | Proposed Amendment to Schedule C to the NASD By-Laws to Amend the Definition of a Direct Participation Program; Last Date for Comments: April 3, 1989
Last Date for Comments: April 3, 1989
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| Notice To Members 89-23 | Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees Deadline for Voting: April 3, 1989
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| Notice To Members 89-22 | Proposed Amendment Re: Use and Disclosure of Member Names Last Voting Date: April 3, 1989
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| Notice To Members 89-21 | Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Voting Date: April 3, 1989
Last Voting Date: April 3, 1989
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| Notice To Members 89-20 | Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989
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| For Your Information - February 1989 | For Your Information (February)
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| Notice To Members 89-19 | NASDAQ National Market System Additions, Changes, and Deletions as of January 12, 1989
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| Notice To Members 89-18 | Presidents' Day: Trade Date-Settlement Date Schedule
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| Notice To Members 89-17 | Adoption of Rule Amendments Mandating the Automated Submission Of Trading Data Technical Specifications
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| Notice To Members 89-16 | Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs — Effective February 1, 1989
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| Notice To Members 89-15 | Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations — Effective December 20, 1988
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