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 99-65 | SEC Approves Rule Changes To NASD Trade-Reporting Rules For Riskless Principal Transaction In Nasdaq And OTC Securities
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| Notice to Members 99-64 | NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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| Notice to Members 99-63 | SEC Approves And Adopts Revised Forms And Electronic Filing Requirement
New Member Applicants Should Continue To File Paper Forms
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| For Your Information - August 1999 | For Your Information (August)
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| NASD Rule Filing Status - July 1999 | NASD Rule Filing Status (July)
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| Y2000 Update - July 1999 | Year 2000 Update (July)
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| For Your Information - July 1999 | For Your Information (July)
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| Notice to Members - July 1999 | For Your Information
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| Notice to Members 99-62 | Nominees For District Committees And District Nominating Committees
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| Notice to Members 99-61 | SEC Approves Changes To Rule 4613—Firm Quotation Requirements
Effective Date: August 2, 1999
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| Notice to Members 99-60 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 24, 1999
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| Notice to Members 99-59 | NASD Will No Longer Impose Censures For Some Violations
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| Notice to Members 99-58 | SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule
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| Notice to Members 99-57 | SEC Approves Rule Amendments Governing Clearing Firms And Their Introducing Firm Clients' Relationship
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| Notice to Members 99-56 | NASD Regulation Announces CRD "System Transition Period" Immediately Preceding The Deployment Of Web CRD
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| Notice to Members 99-55 | Questions And Answers Relating To Non-Cash Compensation Rules
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| Notice to Members 99-54 | NASD Regulation Seeks Comment On Issues Relating To Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
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| Notice to Members 99-53 | NASD Regulation Offers Guidance To Members Forwarding Mini Tender Offers To Their Customers
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| Y2000 Update - June 1999 | Year 2000 Update (June)
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| For Your Information - June 1999 | For Your Information (June)
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| Notice to Members - June 1999 | For Your Information
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| Notice to Members 99-52 | Mail Vote—NASD Solicits Vote On Amendments To NASD By-Laws To The Associated Person Definition
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice. |
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| Notice to Members 99-51 | NASD Regulation Requests Comment On Requiring Chief Compliance Officers To Be Registered
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| Notice to Members 99-50 | SEC Approves Amendments To Corporate Financing Rule Filing Fees
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| Notice to Members 99-49 | NASD Regulation Provides Interpretive Guidance On Registration Requirements
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| Notice to Members 99-48 | Independence Day: Trade Date—Settlement Date Schedule
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| Notice to Members 99-47 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 22, 1999
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| Notice to Members 99-46 | Maximum SOES Order Sizes Set To Change July 1, 1999
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| Notice to Members 99-45 | NASD Provides Guidance On Supervisory Responsibilities
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| Notice to Members 99-44 | SEC Approves Interpretations And Allocation Chart For Proprietary Accounts Of Introducing Broker/Dealers
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| Notice to Members 99-43 | Update On OTC Bulletin Board Eligibility Rule
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| Notice to Members 99-42 | NASD Offers Guidance On Complying With Notice Requirements Of New SEC Rule Regarding Alternative Trading Systems
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| Notice to Members 99-41 | NASD Announces New Electronic Filing System For Corporate Financing Filings
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| Notice to Members 99-40 | NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
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| Y2000 Update - May 1999 | Year 2000 Update (May)
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| Notice to Members - May 1999 | Year 2000 Update
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| Notice to Members 99-39 | The NASD Prepares For Move To Decimals
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| Notice to Members 99-38 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 23, 1999
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| Notice to Members 99-37 | NASD Reminds Members Of Their Obligations Regarding Electronic Distribution Of Nasdaq And OTC Market Data
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| Notice to Members 99-36 | Members Reminded To Report Executive Representative And Address Changes
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