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 96-02 | SEC Approves Amendments To Article II, Section 4 Of The NASD By-Laws To Include Statutory Disqualification Provisions Adopted By Congress
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| Notice to Members 96-01 | Mail Vote - NASD Solicits Member Vote On Amendments To The NASD By-Laws To Require Members To File Required Documents Electronically
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| Notice To Members 95-102 | Overview Of Planned Changes To Disciplinary And Enforcement Procedures
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| Notice To Members 95-101 | Mail Vote—NASD Solicits Member Vote On Amendments To The NASD By-Laws To Reconfigure The NASD Board And Establish A National Nominating Committee;
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| Notice To Members 95-109 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1995
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| Notice To Members 95-108 | Nasdaq National Market Additions, Changes, And Deletions As Of November 20, 1995
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| Notice To Members 95-107 | Trade Date-Settlement Date Schedule For 1996
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| Notice To Members 95-106 | NASD 1996 Holiday Schedule
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| Notice To Members 95-105 | Treasury Offers Revised Currency Transaction Report Form
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| Notice To Members 95-104 | Expanded Sign-In Procedures At The PROCTOR Centers, Effective February 1, 1996; And PROCTOR Adds Remote Delivery Sites
And PROCTOR Adds Remote Delivery Sites
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| Notice To Members 95-103 | SEC Approves A Policy That Delegates Authority To The NASD Staff And The NASD Fixed Income Committee To Review Member Requests For Exemptions From MSRB Rule G-37(b)
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| Notice To Members 95-99 | Nasdaq National Market Additions, Changes, And Deletions As Of October 20, 1995
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| Notice To Members 95-98 | Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule
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| Notice To Members 95-97 | NASD Reminds Members About Treasury's Foreign Assets Control Regulations
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| Notice To Members 95-96 | Continuing Education Rosters Now Available To Member Firms
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| Notice To Members 95-95 | SEC Approves Amendments To The Corporate Financing Rule Relating To Rights Of First Refusal
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| Notice To Members 95-100 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 27, 1995
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| Notice To Members 95-94 | NASD Requests Comment On Proposed Redefinition Of Gross Revenue For Assessment Purposes;
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| Notice To Members 95-93 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 28, 1995
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| Notice To Members 95-92 | Nasdaq National Market Additions, Changes, And Deletions As Of September 20, 1995
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| Notice To Members 95-91 | SOES Tier Levels Set To Change November 13, 1995
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| Notice To Members 95-90 | Thanksgiving Day: Trade Date-Settlement Date Schedule
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| Notice To Members 95-89 | Broker/Dealer And Agent Renewals For 1996;
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| Notice To Members 95-88 | Treasury Delays Effective Date Of Wire Transfer Recordkeeping Requirements Until April 1, 1996; Proposes Clarifying Amendments
Proposes Clarifying Amendments
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| Notice To Members 95-87 | Confidentiality Clauses In Settlement Agreements
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| Notice To Members 95-86 | NASD Reminds Members About Continuing Education Program Regulatory Element
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| Notice To Members 95-85 | Clarification Of NASD Notice to Members 95-16 And NYSE Information Memorandum 95-16: Content And Enforcement Of Provisions In Customer Agreements And Predispute Arbitration Clauses
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| Notice To Members 95-84 | Rudman Committee Releases Summary Of Conclusions And Recommendations
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| Notice To Members 95-83 | SEC Approves Rules Permitting Arbitration Participants To Seek Injunctive Relief From Arbitrators
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| Notice To Members 95-82 | SEC Approves NASD Rules Concerning Index, Currency, And Currency Index Warrants
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| Notice To Members 95-81 | SEC Approves Rules For Reporting Customer Complaint Information; Special NASD Notices to Members
Special NASD Notices to Members
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| Notice To Members 95-80 | NASD Further Explains Members Obligations And Responsibilities Regarding Mutual Funds Sales Practices
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| Notice To Members 95-79 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 25, 1995
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| Notice To Members 95-78 | Nasdaq National Market Additions, Changes, And Deletions As Of August 21, 1995
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| Notice To Members 95-77 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 95-76 | SEC Permits NASD To Discipline Members And Associated Persons Who Fail To Honor Arbitration Or Mediation Settlement Agreements
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| Notice To Members 95-75 | SEC Approves Amendment Regarding Trading In Anticipation Of The Issuance Of A Research Report
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| Notice To Members 95-74 | SEC Approves Amendments To Advertising And Sales Literature Filing And Review Requirements
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| Notice To Members 95-73 | NASD Requests Comment On Member Obligations To File Certain Exchange Offers That Result In Public Distributions;
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| Notice To Members 95-72 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 28, 1995
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