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 07-11 | Amendment to Margin Rules to Establish a Portfolio Margin Pilot Program
Effective Date: April 2, 2007
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| Notice to Members 07-10 | SEC Approves Changes to NASD Interpretive Material 8310-2 Regarding the Release of Information through NASD BrokerCheck
Effective Date: March 19, 2007
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| Notice to Members 07-09 | SEC Approves Amendments to NASD Rules to Modify and Expand NASD's Authority to Initiate Trading and Quotation Halts in Over-the-Counter (OTC) Equity Securities
Effective Date: March 16, 2007
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| Notice to Members 07-08 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Notice to Members 07-07 | SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Effective Date: April 16, 2007
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| Notice to Members 07-06 | Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
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| Notice to Members 07-05 | Amendments to the Fees for Filing Offering Documents by Well-Known Seasoned Issuers Pursuant to the Corporate Financing Rule
Effective Date: February 26, 2007
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| Notice to Members 07-04 | Codification of Interpretations to Rule 2711
Implementation Date: September 27, 2006
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| Notice to Members 07-03 | NASD Announces SEC Approval of Amendments to Rule 2860 and Issues Guidance Concerning Large Options Position Reports and Aggregation of Certain Positions
Effective Date of Amendments February 12, 2007
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| Notice to Members 07-02 | SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD's Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com
Effective Date: July 7, 2007
The effective date has been extended to October 31, 2007. |
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| Notice to Members 07-01 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
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| Notice to Members 06-74 | Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
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| Notice to Members 06-73 | 2007 Trade Date — Settlement Date Schedule
This Notice was updated on 10/12/07 to include the trade date and settlement dates for Veterans Day, and also updated on 10/4/07 to correct the Columbus Day settlement dates for the October 4 and 5 trade dates. |
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| Notice to Members 06-72 | Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing
Revised Effective Date: May 31, 2007
NTM 06-72 supersedes NTM 06-60 |
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| Notice to Members 06-71 | Clarification of Exemption for Market Makers Acting in the Capacity of Exchange Market Maker and Interpretive Guidance Relating to Riskless Principal Transactions
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| For Your Information - December 2006 | For Your Information
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| Notice to Members FYI December 2006 | For Your Information
This version has been updated with more detailed information about each filing. |
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| Notice to Members 06-70 | SEC Approves Amendments Expanding the OATS Requirements to OTC Equity Securities and NASD Publishes Revised OATS Reporting Technical Specifications
Effective Date: June 11, 2007
The effective date has been extended to February 4, 2008. |
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| Notice to Members 06-69 | NASD Issues Additional Guidance on Rule 3060 (Influencing or Rewarding Employees of Others)
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| Notice to Members 06-68 | SEC Approves Amendments to Rule 2340 to Allow DVP/RVP Customers to Elect Not to Receive Account Statements
Effective Date: November 22, 2006
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| Notice to Members 06-67 | SEC Approves Amendments to NASD Rules to Align Them with Regulation NMS
Effective Date: Regulation NMS Trading Phase Date, Currently Scheduled to Occur February 5, 2007.The SEC has extended the Trading Phase Date to March 5, 2007.
The SEC has extended the Trading Phase Date to March 5, 2007. |
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| Notice to Members 06-66 | NASD Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
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| Notice to Members 06-65 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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| Notice to Members 06-64 | SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
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| Notice to Members 06-63 | Amendments to Registration Rules Extending the Date by which Eligible Registrants must Complete Continuing Education Program before Engaging in Security Futures Activities
Effective Date: November 15, 2006
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| Notice to Members 06-62 | SEC Approves Rule 3160 Regarding Submission and Reporting Requirements for Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Effective Date: March 1, 2007
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| Notice to Members 06-61 | SEC Approves Rule 3170 Requiring Members to Electronically File with or Otherwise Submit to NASD Specified Regulatory Notices or Other Documents
Effective Date: December 6, 20061
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| Notice to Members 06-60 | SEC Approves Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing
Effective Date: March 6, 2007
NTM 06-60 has been superseded by NTM 06-72 |
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| Notice to Members 06-59 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
Payment Deadline: December 8, 2006
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| Notice to Members 06-58 | SEC Approves Amendments to Rule 2320(a) Regarding Best Execution and New Interpretive Material 2320
Effective Date: November 8, 2006
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| Notice to Members 06-57 | SEC Approves Exemption to NASD Rule 5100 (Short Sale Rule) for Securities Included in the NASDAQ-100 Index
Effective Date: October 9, 2006
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| Notice to Members 06-56 | SEC Approves Amendments to the Safe Harbor for Business Expansions
Effective Date: November 3, 2006
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| Notice to Members 06-55 | NASD Revises Sanction Guidelines to Further Address Consideration of a Firm's Size
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| Notice to Members 06-54 | Amendments to Option Disclosure Documents Delivery Requirements in Rule 2860
Implementation Date: October 26, 2006
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| Notice to Members 06-53 | Guidance on the Requirements for Availability of Bona Fide Market Making Activity Exception to NASD Rule 5100
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| Notice to Members 06-52 | NASD Requests Comment on Proposed Amendments to Rules Governing Conflicts of Interest in Public Offerings of Securities
Comment Period Expires October 30, 2006
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| Notice to Members 06-51 | Amendments to Option Exercise Procedures in Rule 2860
Effective Date: October 12, 2006
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| Notice to Members 06-50 | NASD Reminds Members of Their Obligation to Provide Accurate Information to Services that Disseminate Trading Volume and Trading Interest
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| Notice to Members 06-49 | NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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| Notice to Members 06-48 | SEC Approves Amendments to NASD Rules 2210 and 2211 to Require Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Effective Date: April 1, 2007
This Notice has been updated to correct the rule reference at the top of page 4 to 2210(d)(3)(B). |