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 04-23 | NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5)
and (2) Adopting a Rule to Create an Inactive Disclosure
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| Notice to Members 04-22 | SEC Approves Amendments to Rule 1120 (Continuing Education Requirements) Regarding Regulatory Element Contact Person
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| Notice to Members 04-21 | NASD Provides Further Guidance on Amendments to NASD Rule 3370 Affirmative Determination Requirements
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| Notice to Members 04-20 | IPO Distribution Manager to Replace Compliance Desk
Filings Required for All New Issues as Defined in Rule 2790
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| Notice to Members 04-19 | NASD Releases Minor Rule Violation Plan (MRVP) Guidelines
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| Notice to Members 04-18 | NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
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| Notice to Members 04-17 | NASD Revises NASD Sanction Guidelines
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| Notice to Members 04-16 | NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
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| Notice to Members 04-15 | SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry
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| Notice to Members 04-14 | SEC Approves Amendments to Rule Governing Lending Between Registered Persons and Customers
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| Notice to Members 04-13 | SEC Approves Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates-Conflicts of Interest)
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| Notice to Members 04-12 | Change in Policy of Granting Foreign Deferrals to Registered Supervisors and Principals from the Continuing Education Regulatory Element
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| Notice to Members 04-11 | NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
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| Notice to Members 04-10 | SEC Approves Amendments to Membership Application and Continuation Rules (Rules 1011, 1014, and 1017)
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| Notice to Members 04-09 | SEC Announces Immediate Effectiveness of Amendments to Section 4 of Schedule A to the NASD By-Laws
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| Notice to Members 04-08 | Effective Date of Amendments to NASD Rule 3370 (Affirmative Determination Requirements) Extended to April 1, 2004
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| Notice to Members 04-07 | NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text)
Comment Period Expired March 12, 2004
This version corrects certain administrative and other non-substantive text. |
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| Notice to Members 04-06 | SEC Approves Permanent TRACE Fee Structure and Nine-Month Pilot Program for BTDS Professional Delayed-Time Data Display Fee
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| Notice to Members 04-05 | NASD Announces Election Results for District Committees and District Nominating Committees
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| Notice to Members 04-04 | SEC Announces Immediate Effectiveness of Amendments to Section 5 of Schedule A to the NASD By-Laws
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| Notice to Members 04-03 | SEC Approves NASD Rule Proposal Requiring Members to Make Affirmative Determinations for Short Sale Orders Received from Non-Member Broker/Dealers
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| Notice to Members 04-02 | 2004 Renewal Reports and Final Renewal Statements
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| Notice to Members 04-01 | NASD Provides Additional Information Regarding Options Exemption for the Trading Activity Fee
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| For Your Information - December 2003 | For Your Information
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| Notice to Members FYI December 2003 | For Your Information
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| Notice to Members 03-81 | Regulatory Element of Continuing Education Fee to be Reduced from $65 to $60
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| Notice to Members 03-80 | NASDAQ Announces New Service Termination Policy
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| Notice to Members 03-79 | SEC Approves New Rule 2790 (Restrictions on the Purchase and Sale of IPOs of Equity Securities)
Replaces Free-Riding and Withholding Interpretation
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| Notice to Members 03-78 | 2004 Trade Date — Settlement Date Schedule (Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005))
Note: The Regulation T date for "regular way" transactions made on December 27, 2004, has been corrected to January 3, 2005 (from January 4, 2005). |
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| Notice to Members 03-77 | NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
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| Notice to Members 03-76 | Access to Information Available Under Interpretive Material 8310-2
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| Notice to Members 03-75 | NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on December 2)
A proxy package was sent to each NASD Executive Representative on December 2. |
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| Notice to Members 03-74 | Guidance Relating to the Application of NASD's Limit Order Protection Rule When Trading Proprietarily Through a Separate MPID
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| Notice to Members 03-73 | NASD Announces Online Availabilty of Comments
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| Notice to Members 03-72 | Request for Comment on Regulatory Approaches to Enhance IPO Pricing Transparency (Note: The comment period has been extended to January 23, 2004)
Note: The comment period has been extended to January 23, 2004. |
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| Notice to Members 03-71 | NASD Reminds Members of Obligations When Selling Non-Conventional Investments
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| Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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| Notice to Members 03-69 | SEC Approves Changes to Rules on Reporting of Transactions through Electronic Communications Networks (ECNs)
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| Notice to Members 03-68 | NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
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| Notice to Members 03-67 | SEC Approves Proposed Changes to NASD Rules 3130 and 3131, Rule 9160, and the Rule 9410 Series
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