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 01-01 | SEC Approves Proposed Changes To NASD Rule 2860
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| Notice to Members 00-90 | Mail Vote — NASD Solicits Vote On Amendments To The NASD By-Laws On Selected Corporate Governance Issues (Note: Only NASD member Executive Representatives are allowed to vote)
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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| For Your Information - December 2000 | For Your Information (December)
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| For Your Information - December 2000 | For Your Information (December)
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| Notice to Members 2000 | For Your Information
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| Notice to Members 00-89 | NASD 2001 Holiday Schedule
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| Notice to Members 00-88 | Trade Date — Settlement Date Schedule For 2001
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| Notice to Members 00-87 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of November 22, 2000
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| Notice to Members 00-86 | Review Of Decimalization Testing
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| Notice to Members 00-85 | NASD To Deduct Delinquent Corporate Financing Filing Fees From CRD Account
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| Notice to Members 00-84 | NASD Regulation Requests Comment On A Proposed Amendment To NASD Rule 2320(g) To Exclude Certain Transactions In Foreign Securities
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| Notice to Members 00-83 | NASD Regulation To Make Statutory Disqualification Decisions Publicly Available In Redacted Format
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| Notice to Members 00-82 | Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
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| Notice to Members 00-81 | Fixed Income Pricing System Additions, Deletions, And Changes As Of October 23, 2000
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| Notice to Members 00-80 | Nasdaq Decimalization Testing & Decimalization Implementation Phase-In Plan
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| Notice to Members 00-79 | Nasdaq Adopts Alternative Approach For Complying With Riskless Principal Trade-Reporting Rules And Issues Net Trading Interpretation
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| Notice to Members 00-78 | SEC Approves Proposed Changes To The NASD Three Quote Rule And Related Recordkeeping Requirements
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| Notice to Members 00-77 | Thanksgiving Day: Trade Date — Settlement Date Schedule
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| Notice to Members 00-76 | Fixed Income Pricing System Additions, Deletions, And Changes As Of September 22, 2000
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| Notice to Members 00-75 | Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
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| Notice to Members 00-74 | NASD Announces Election Results For District Committees And District Nominating Committees
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| Notice to Members 00-73 | SEC Approves Amendments To NASD Membership Rules (Correction: On page 571, the 2nd sentence should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." Online version amended)
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected. |
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| Notice to Members 00-72 | Broker/Dealer And Agent Renewals For 2001
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| Notice to Members 00-71 | NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
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| Notice to Members 00-70 | Nasdaq Requests Comment On Extending Manning Limit Order Protection Interpretation To Premarket Hours (Correction: On p. 556, it was originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET.)
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected. |
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| For Your Information - September 2000 | For Your Information (September)
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| Notice to Members 2000 | For Your Information
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| Notice to Members 00-69 | Columbus Day: Trade Date — Settlement Date Schedule
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| Notice to Members 00-68 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 21, 2000
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| Notice to Members 00-67 | Decimalization Implementation Plan
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| Notice to Members 00-66 | NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information
SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
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| Notice to Members 00-65 | Nasdaq Is Establishing The Primex Auction System As A New Facility
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| Notice to Members 00-64 | SEC Approves Rule Changes To Amend Mediation Fee Structure
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| Notice to Members 00-63 | NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
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| Notice to Members 00-61 | NASD Regulation Files Rule Proposal with SEC Requiring Delivery of Margin Disclosure Statement to Customers
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| Notice to Members 00-62 | SEC Approves Day-Trading Rules
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| Notice to Members 00-60 | Nominees For District Committees And District Nominating Committees
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| For Your Information - August 2000 | For Your Information (August)
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| Notice to Members - FYI - August 2000 | For Your Information
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| Notice to Members 00-59 | NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council
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