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 02-56 | Nominees for NASD Board of Governors
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| Notice to Members 02-55 | NASD Requests Comment on Proposed New Rule 2712 (IPO Allocations and Distributions) and on an Amendment to Rule 2710 (Corporate Financing Rule)
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| Notice to Members 02-54 | NASD Requests Comment on Proposed Amendments to Rules 1014 and 1017
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| Notice to Members 02-53 | NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD
Revises Letters Sent When Determination Made to Close an Investigation Without Further Action
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| Notice to Members 02-52 | NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition")
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| For Your Information - August 2002 | For Your Information (August)
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| Notice to Members FYI August 2002 | For Your Information
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| Notice to Members 02-51 | NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools.
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| Notice to Members 02-50 | Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements
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| Notice to Members 02-49 | NASD Adopts Amendments to IM-8310-2 Concerning Release of Disciplinary Information to the Public
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| Notice to Members 02-48 | NASD Amends Section 4 of Schedule A to the NASD By-Laws to Establish a Late Fee for Failure to Pay Annual Renewal Fees on a Timely Basis
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| Notice to Members 02-47 | Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers
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| Notice to Members 02-46 | NASD Announces Nomination Procedures for Regional Industry Member Vacancy on the National Adjudicatory Council
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| Notice to Members 02-45 | Alternative Display Facility (ADF) Nine-Month Pilot Approved for Trading in Nasdaq Securities
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| Notice to Members 02-44 | NASD Requests Comment on Application of Rule 2711 to Small Firms
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| Notice to Members 02-41 | NASD Informs Members of Proposed Changes to NASD's Gross Income Assessment, Personnel Assessment, and Regulatory Fee
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| For Your Information - July 2002 | For Your Information (July)
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| Notice to Members FYI July 2002 | For Your Information
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| Notice to Members 02-43 | Labor Day: Trade Date — Settlement Date Schedule
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| Notice to Members 02-42 | Fixed Income Pricing SystemSM Additions, Changes, and Deletions as of May 22, 2002
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| Notice to Members 02-40 | NASD Requests Comment On Proposed Amendments to NASD Rule 2320 (Best Execution Rule)
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| Notice to Members 02-39 | SEC Approves Rule Governing Research Analysts' Conflicts of Interest
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| Notice to Members 02-38 | Independence Day: Trade Date — Settlement Date Schedule
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| Notice to Members 02-37 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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| For Your Information - June 2002 | For Your Information (June)
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| Notice to Members FYI June 2002 | For Your Information
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| Notice to Members 02-36 | Fixed Income Pricing SystemSM Additions, Changes, and Deletions as of April 23, 2002
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| Notice to Members 02-35 | NASD Adopts Amendments Regarding the Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
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| Notice to Members 02-34 | SEC Approves Proposed Changes to Rule 3070 Concerning the Reporting of Criminal Offenses by Members and Persons Associated with Members
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| Notice to Members 02-33 | SEC Approves Amendments to NASD Rule 2260 Requiring Broker/Dealers to Forward Information Regarding Debt Securities to Beneficial Owners
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| Notice to Members 02-32 | SEC Approves NASD Rule Requiring Members to Require Investors to Sign a Disclosure Document as Part of a Subordinated Loan Agreement
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| Notice to Members 02-31 | NASD Seeks Comment on Proposed Changes to the OATS Rules
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| For Your Information - May 2002 | For Your Information (May)
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| Notice to Members FYI May 2002 | For Your Information
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| Notice to Members 02-30 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of March 22, 2002
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| Notice to Members 02-29 | NASD Regulation Provides Guidance On Order Audit Trail System Rules
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| Notice to Members 02-28 | Member Obligations Regarding Long-Term Or Brokered Certificates Of Deposit (Note: This Notice is superseded by Notice to Members 02-69)
Note: This Notice is superseded by Notice to Members 02-69. |
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| Notice to Members 02-27 | Series 22, 27, 28, 39, 55, And 82 Modified
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| Notice to Members 02-26 | SEC Approves Rule Change Requiring Members To File Information With The Corporate Financing Department Through Its Electronic Filing System
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| Notice to Members 02-25 | Memorial Day: Trade Date—Settlement Date Schedule
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