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 84-1 | National Market System to Expand to 728 Issues January 17; and Year-End NASDAQ Market Highlights
and Year-End NASDAQ Market Highlights
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| Notice To Members 83-74 | Proposed Amendments to Article III, Section 19 of the Rules of Fair Practice, "Customers Securities or Funds"
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| Notice To Members 83-73 | SEC Adopts Rule 15c2-2 Governing Binding Arbitration Clauses in Customer Agreements
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| Notice To Members 83-72 | Request for Comments on Proposed Amendment to Schedule C to the By-Laws
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| Notice To Members 83-71 | Hanover Square Securities Group Inc. 5 Hanover Square New York, New York 10004
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| Notice To Members 83-70 | Automatic Money Market Fund Redemptions
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| Notice To Members 83-69 | Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit investment Trust Securities
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| Notice To Members 83-67 | Proposed Amendments to the Corporate Financing Rule Proposed Amendments to Section 26 of the Rules of Fair Practice
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| Notice To Members 83-66 | 51 Securities To Voluntarily Join NMS on Tuesday, December 20
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| Notice To Members 83-65 | Due Diligence and Certification Requirements With Respect To Taxpayer Identification Numbers and Backup Withholding
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| Notice To Members 83-64 | Implementation of the Revised Direct Participation Programs Principal Examination (Series 39)
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| Notice To Members 83-63 | 1984 Schedule of Holidays
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| Notice To Members 83-62 | American Telephone and Telegraph Company (AT & T) Divestiture
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| Notice To Members 83-61 | Holiday Schedule for Remainder of 1983
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| Notice To Members 83-60 | National Market System to Expand to 635 Issues November 22
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| Notice To Members 83-59 | Pilot Ends Expansion of ITS/CAES Linkage Open to All Rule 19c-3 Securities ATT Divestiture
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| Notice To Members 83-58 | SEC Rule Change Relating to Foreign Securities in NASDAQ
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| Notice To Members 83-57 | Trade DateSettlement Date Schedule for Election Day and Veterans Day
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| Notice To Members 83-56 | Fidelity Bonds Definition of "Employee"; Expiration of Grace Period
Expiration of Grace Period
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| Notice To Members 83-55 | Amendments to Association By-Laws
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| Notice To Members 83-54 | 16 Securities Mandated to Join NMS on November 8, 1983
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| Notice To Members 83-53 | Quarterly Checklist of Notices to Members
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| Notice To Members 83-52 | Group Surety Bond Buying Program
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| Notice To Members 83-51 | Columbus Day: Trade DateSettlement Date Schedule
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| Notice To Members 83-50 | 50 Securities Scheduled to Join NMS on October 18
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| Notice To Members 83-49 | Request for Comments on Proposed Amendment to Appendix F Concerning Associate General Partners of Direct Participation Programs
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| Notice To Members 83-48 | Proposed New Rule of Fair Practice Relating To Permission For Members to Carry Customer Accounts
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| Notice To Members 83-47 | Proposed New Rule of Fair Practice to Regulate the Activities of Members Experiencing Financial and/or Operational Difficulties
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| Notice To Members 83-46 | Labor Day: Trade DateSettlement Date Schedule
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| Notice To Members 83-45 | Adoption of Amendments to Schedule E on Self-Underwriting
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| Notice To Members 83-44 | Change of Policy on Overallotment Options
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| Notice To Members 83-43 | Rescission of Venture Capital Policy and Adoption of New Requirement
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| Notice To Members 83-42 | 100 Securities Scheduled to Join NMS in August and September
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| Notice To Members 83-41 | SEC Staff Issues No-Action Letter Providing Temporary Relief from Certain Provisions of Rules 15c3-1 and 15c3-3 Dealing with Municipal Securities
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| Notice To Members 83-40 | Quarterly Checklist of Notices to Members
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| Notice To Members 83-39 | Real-Time Transaction Reporting in Additional 100 NASDAQ NMS Securities Effective February 8, 1983
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| Notice To Members 83-38 | SEC Adopts Amendments to Rule 10b-10; Confirmation Rule
Confirmation Rule
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| Notice To Members 83-36 | Subscriptions to Monthly Statistical Reports of NASDAQ Issues
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| Notice To Members 83-37 | 44 Securities Scheduled to Join NMS on August 9, 1983
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| Notice To Members 83-35 | Adoption of Section 9 of Article III, Schedule A of the Association's By-Laws; Fee on Cleared Transactions
Fee on Cleared Transactions
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