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 06-07 | SEC Approves Amendments to Anti-Money Laundering Compliance Program Rule and Adoption of Interpretive Material
Effective Date: March 6, 2006
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| Notice to Members 06-06 | NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Comment Period Expires February 23, 2006; Comment Period extended to March 3, 2006
The comment period was extended to March 3, 2006. |
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| Notice to Members 06-05 | SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
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| Notice to Members 06-04 | SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance
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| Notice to Members 06-03 | NASD Provides Guidance Regarding New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
Effective Date: January 9, 2006
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| Notice to Members 06-02 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006
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| Notice to Members 06-01 | SEC Approves Immediate Dissemination of Information on TRACE Transactions
Effective Date: January 9, 2006
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| For Your Information - December 2005 | For Your Information
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| Notice to Members FYI December 2005 | For Your Information
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| Notice to Members 05-85 | SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Effective January 30, 2006
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| Notice to Members 05-83 | NASD Notice of Meeting and Proxy
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| Notice to Members 05-84 | NASD Announces Election Results for the District Committee for District 7
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| Notice to Members 05-82 | SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Effective Date: January 17, 2006
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| Notice to Members 05-81 | 2006 Trade Date — Settlement Date Schedule
This Notice has been updated to reflect the removal of Veterans' Day from the Trade Date - Settlement Date schedule, and to correct the Thanksgiving Reg. T date for the November 24 trade date. |
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| Notice to Members 05-80 | SEC Approves Amendments to IM-8310-2 Regarding the Publication of Decisions Issued by the National Adjudicatory Council (NAC) Pursuant to NASD Rule 1015
Effective Date: January 12, 2006
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| Notice to Members 05-79 | Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees
Implementation Date: January 1, 2006
This version corrects the Series 22 (Direct Participation Programs Representative) Fee. |
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| Notice to Members 05-78 | SEC Approves Amendments to the OATS Rules
Effective Date: May 8, 2006
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| Notice to Members 05-77 | Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE
NTM 05-77 has been superseded by Notice 07-61 |
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| Notice to Members 05-76 | Nominees for NASD Board of Governors
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| Notice to Members 05-74 | NASD Announces Election Results for District Committees and District Nominating Committees
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| Notice to Members 05-75 | Supervisory Controls and Annual CEO Certification
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| Notice to Members 05-73 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006
Payment Deadline: December 14, 2005
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| Notice to Members 05-72 | SEC Approves Amendments to NASD Rule 3150, Regarding Reporting Requirements for Clearing Firms, and NASD Rule 3230, Regarding Requirements for Clearing Agreements
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| Notice to Members 05-71 | SEC approves NASD Interpretive Material to Rule 9216 regarding NASD's MRVP
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| Notice to Members 05-70 | Revisions to the Series 4, 6 and 9/10 Examination Programs
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| Notice to Members 05-69 | SEC Approves New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
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| Notice to Members 05-68 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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| Notice to Members 05-67 | SEC Approves Uniform Branch Office Definition and Related Interpretive Material
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| Notice to Members 05-66 | SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5
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| Notice to Members 05-65 | SEC Approves Amendments Relating to Rule 2790
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| Notice to Members 05-64 | SEC Approves Amendments to IM-2110-2 to Require Members to Provide Price Improvement to Customer Limit Orders in Certain Circumstances and to Expand IM-2110-2 to Exchange-Listed Securities
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| Notice to Members 05-63 | NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting
Comment Period Expired November 29, 2005
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| Notice to Members 05-62 | Nominees for District Committee and District Nominating Committee
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| Notice to Members 05-61 | NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee
Comment Period Expired October 31, 2005
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| Notice to Members 05-60 | Important Information Regarding the Suspension of Trading in the Securities of Bancorp International Group, Inc. (BCIT.PK)
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| Notice to Members 05-59 | NASD Provides Guidance Concerning the Sale of Structured Products
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| Notice to Members 05-58 | Intermarket Surveillance Group (ISG)1 Requires Validation of Electronic Blue Sheet Submissions
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| Notice to Members 05-57 | Guidance to Members Affected by Hurricane Katrina
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| Notice to Members 05-56 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Notice to Members 05-55 | SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
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