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 November 1998 | Year 2000 Update
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| Notice to Members November 1998 | Notice of Meeting and Proxy
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| Notice to Members 98-95 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1998
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| Notice to Members 98-94 | Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-93 | NASD Informs Members Of District Committee Members And District Nominating Committee Members
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| NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3) | ||
| Notice to Members 98-91 | NASD Alerts Members To Their Obligations Concerning Cold Calling And Advertising To Persons In The United Kingdom
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| Notice to Members 98-90 | New Arbitrator List Selection Rules And Monetary Thresholds For Simplified And Single Arbitration Cases Take Effect
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| Notice to Members 98-92 | NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3)
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| Y2000 Update - October 1998 | Year 2000 Update For October
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| For Your Information - October 1998 | For Your Information For October
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| Notice to Members October 1998 | Year 2000 Update
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| Notice to Members FYI October 1998 | For Your Information
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| Notice to Members 98-89 | NASD Announces Changes In CRD Filing Fees
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| Notice to Members 98-88 | Underwriting Compensation In Public Offerings
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| Notice to Members 98-87 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 24, 1998
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| Notice to Members 98-86 | Columbus Day, Veterans Day, And Thanksgiving Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-85 | SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked And Crossed Markets, And Members' Obligation To Provide Nasdaq With Certain Information
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| Notice to Members 98-84 | Broker/Dealer And Agent Renewals For 1999
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| Notice to Members 98-83 | SEC Approves Rule Change Relating To Standards For Individual Correspondence
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| Notice to Members 98-82 | SEC Approves Amendments To Automated Confirmation Transaction Service And Transaction Reporting Rules
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| Notice to Members 98-81 | NASD Regulation Requests Comment On Whether Some Rules Should Be Repealed As Obsolete Or Amended To Provide Institutional Customer Exception
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| For Your Information - September 1998 | For Your Information For September
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| Notice to Members FYI September 1998 | For Your Information
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| Notice to Members 98-80 | Nominees For NASD Board Of Governors
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| Notice to Members 98-79 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 23, 1998
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| Notice to Members 98-78 | NASD Clarifies Operation Of The Limit Order Protection Rule During Unusual Market Conditions
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| Notice to Members 98-77 | Executive Representatives Must Maintain Internet Electronic Mail Account By January 1, 1999
Complimentary Hard Copy Distribution Of Key Publications To End January 1, 1999
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| Notice to Members 98-76 | Maximum SOES Order Sizes Set To Change October 1, 1998
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| Notice to Members 98-75 | SEC Approves Rule Change Relating To Non- Cash Compensation For Mutual Funds And Variable Products
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| Notice to Members 98-74 | SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards
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| Notice to Members 98-73 | Firms Required To Register For Order Audit Trail System
Amendments To OATS Rules
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| Notice to Members 98-72 | Regional Nominating Committee Nominees For The National Adjudicatory Council
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| For Your Information - August 1998 | For Your Information For August
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| Notice to Members FYI August 1998 | For Your Information
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| Notice to Members 98-71 | NASD Regulation Requests Comment On Whether To Modify The Public Disclosure Program To Limit The Period For Disclosure Of Certain Criminal Information
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| Notice to Members 98-70 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998
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| Notice to Members 98-69 | Labor Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-68 | Update On The Securities Industry Continuing Education Program
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| Notice to Members 98-67 | SEC Approves Amendment To Rule On Fidelity Bonding Requirements
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