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 |
|---|---|---|
| Notice to Members 01-69 | Nominees For District Committee And District Nominating Committee
|
|
| Notice to Members 01-68 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of August 21, 2001
|
|
| Notice to Members 01-67 | Executive Order Targeting Terrorists
|
|
| Notice to Members 01-66 | SEC Approves NASD Rule Proposal Relating to Operations
|
|
| Notice to Members 01-65 | NASD Seeks Comment On Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository
|
|
| Notice to Members 01-64 | NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
|
|
| Notice to Members 01-63 | SEC Approves New Rule Relating To The Application Of NASD Rules And Interpretive Materials To Exempted Securities
|
|
| For Your Information - September 2001 | For Your Information (September)
|
|
| Notice to Members FYI September 2001 | For Your Information
|
|
| Notice to Members 01-62 | Columbus Day: Trade Date — Settlement Date Schedule
|
|
| Notice to Members 01-61 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of July 20, 2001
|
|
| Notice to Members 01-60 | New Requirements For Electronic Blue Sheets Submissions
|
|
| Notice to Members 01-59 | NASD Requests Comment On Proposed Rule Amendments To Address Shelf Offerings Of Securities
|
|
| Notice to Members 01-58 | Rules Relating To Bond Mutual Fund Volatility Ratings Extended Two Years
|
|
| Notice to Members 01-57 | NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council
|
|
| For Your Information - August 2001 | For Your Information (August)
|
|
| Notice to Members FYI August 2001 | For Your Information
|
|
| Notice to Members 01-56 | NASD Notice Of Meeting And Proxy
|
|
| Notice to Members 01-55 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of June 21, 2001
|
|
| Notice to Members 01-54 | SEC Approves Proposed Additions To The List Of Rules Appropriate For Disposition As Minor Violations Of Rules And For The Establishment Of Late Fees For Certain Filings And Reports
|
|
| Notice to Members 01-53 | Procedures Governing The Review And Approval Of Subordination Agreements Filed With The NASD
|
|
| Notice to Members 01-52 | SEC Approves NASD Rule Proposal Relating To Registration Requirements For Limited Principals-Financial And Operations And Limited Principals-Introducing Broker/Dealer Financial And Operations
|
|
| Notice to Members 01-51 | SEC Approves NASD Rule Proposal Requiring Registration Of Chief Compliance Officers
|
|
| Notice to Members 01-50 | Amendment To The Policy For Granting Foreign Deferrals Of The Regulatory Element
|
|
| For Your Information - July 2001 | For Your Information (July)
|
|
| Notice to Members FYI July 2001 | For Your Information
|
|
| Notice to Members 01-49 | Labor Day: Trade Date — Settlement Date Schedule
|
|
| Notice to Members 01-48 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of May 21, 2001
|
|
| Notice to Members 01-47 | SEC Approves Rule Change Prohibiting Publication Of Quotations Or Indications Of Interest In A Security During A Trading Halt (Note: The effective date for amendments to Rule 3340 has been delayed until October 9, 2001)
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems. |
|
| Notice to Members 01-46 | SEC Approves Extension Of Limit Order Protection Principles To Certain OTCBB Securities On A Pilot Basis
|
|
| Notice to Members 01-45 | NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public
|
|
| Notice to Members 01-44 | SEC Issues Interpretive Guidance Concerning Exchange Act Rules 11Ac1-5 And 11Ac1-6
|
|
| Notice to Members 01-43 | NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
|
|
| Notice to Members 01-42 | Nominees For NASD Board Of Governors
|
|
| For Your Information - June 2001 | For Your Information (June)
|
|
| Notice to Members FYI June 2001 | For Your Information
|
|
| Notice to Members 01-41 | SEC Approves PORTAL Rule Amendments
|
|
| Notice to Members 01-40 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of April 23, 2001
|
|
| Notice to Members 01-39 | SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings
Related Qualification Examination (Series 82) Is Effective
|
|
| Notice to Members 01-38 | NASD Regulation Requests Comment On Proposed Amendments To The Taping Rule
|