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 99-15 | SEC Approves Rule Amendments Limiting Quotations On OTC Bulletin Board To Reporting Securities
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| Notice to Members 99-14 | NASD Grants Exemptive Relief Under MSRB Rule G-37(i)
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| Notice to Members 99-12 | NASD Regulation Issues Guidance Concerning The Operation Of Automated Order Execution Systems During Turbulent Market Conditions
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| Notice to Members 99-11 | NASD Regulation Issues Guidance Regarding Stock Volatility
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| Notice to Members 99-10 | NASD Guidelines For Compliance With New Requirements For Non-California Attorneys Representing Parties In NASD Arbitrations In California
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| Notice to Members 99-09 | NASD Regulation Imposes Moratorium On Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
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| Y2000 Update - January 1999 | Year 2000 Update (January)
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| For Your Information - January 1999 | For Your Information (January)
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| Notice to Members - January 1999 | Year 2000 Update
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| Notice to Members - January 1999 | For Your Information
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| Notice to Members 99-13 | NASD Alerts MembersTo Year 2000 Mandatory Testing Activities
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| Notice to Members 99-08 | Martin Luther King, Jr. Day and Presidents Day: Trade Date-Settlement Date Schedule
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| Notice to Members 99-07 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1998
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| Notice to Members 99-06 | 1998-1999 Renewal Rosters And Final Adjusted Invoices Market-Wide Trading Halts
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| Notice to Members 99-05 | SEC Issues Guidance On Handling Customer Orders During Market-Wide Trading Halts
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| Notice to Members 99-04 | Revised OATS Reporting Technical Specifications Released
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| Notice to Members 99-03 | SEC Approves Rule Amendments Requiring Review Of Incoming, Written Correspondence
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| Notice to Members 99-02 | NASD Regulation Withdraws Risk Disclosure Proposal
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| Notice to Members 99-01 | Office Of Disciplinary Affairs To Authorize All Enforcement Actions
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| Y2000 Update - December 1998 | Year 2000 Update For December
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| For Your Information - December 1998 | For Your Information For December
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| Notice to Members December 1998 | Year 2000 Update
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| Notice to Members FYI December 1998 | For Your Information
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| SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers | ||
| Notice to Members 98-98 | SEC Approves Rule Change Relating To Mutual Fund Breakpoint Sales
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| Notice to Members 98-97 | Notice Of Increase In Advertising Review Fees
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| Notice to Members 98-96 | NASD Elaborates On Member Firms' Supervision Responsibilities For Trade Reporting And Market-Making Activities
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| Notice to Members 98-108 | NASD Extends Deadline For Updating Firm Contact Information Via The NASD Regulation Web Site To February 1,1999
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| Notice to Members 98-107 | NASD Reminds Members Of Their Obligations To Disclose Mutual Fund Fees
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| Notice to Members 98-106 | Trade Date - Settlement Date Schedule For 1999
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| Notice to Members 98-105 | NASD 1999 Holiday Schedule
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| Notice to Members 98-104 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 23, 1998
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| Notice to Members 98-103 | Maximum SOES Order Sizes Set To Change January 1, 1999
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| Notice to Members 98-102 | Calculating Margin For Day-Trading And Cross-Guaranteed Accounts
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| Notice to Members 98-101 | NASD Requests Comment On Proposed Amendments To Disclosure Questions On Forms U-4 And U-5
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| Notice to Members 98-100 | FOCUS Filing Due Dates For 1999
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| Y2000 Update - November 1998 | Year 2000 Update For November
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| NASD Rule Filing Status - November 1998 | NASD Notice Of Meeting Proxy For November
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| Notice to Members November 1998 | Year 2000 Update
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| Notice to Members November 1998 | Notice of Meeting and Proxy
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