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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| For Your Information - August 1997 | For Your Information
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| Notice to Members FYI August 1997 | For Your Information
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| Notice to Members 97-55 | New Membership Application Rules, New Code Of Procedure, And Other New Disciplinary Rules
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| Notice to Members 97-54 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 25, 1997
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| Notice to Members 97-53 | Labor Day: Trade Date — Settlement Date Schedule
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| Notice to Members 97-52 | SEC Approves Amendments Relating To Market Maker Registration And Primary Market Maker Eligibility By Managers And Co-Managers Of Secondary Offerings
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| Notice to Members 97-51 | NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
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| Notice to Members 97-50 | NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
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| Notice to Members 97-49 | Compliance With SEC Order Handling Rules And Nasdaq Trading Rules
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| Notice to Members 97-48 | NASD Regulation Requests Comment On Amendments To Rules Governing Sale And Distribution Of Investment Company Shares And Variable Insurance Products
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| Notice to Members 97-47 | NASD Regulation Requests Comment On Presentation Of Related Performance Information
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| Notice to Members 97-46 | SEC Approves Rule Prohibiting Payments For Market Making
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| Notice to Members 97-45 | Corrected List of SOES Tier Size Levels
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| Notice to Members 97-44 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 20, 1997
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| Notice to Members 97-43 | SEC Amends Broker/Dealer Record Retention Rule
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| Notice to Members 97-42 | SEC Approves Amendments Relating To The Release Of Disciplinary Information
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| Notice to Members FYI June 1997 | For Your Information
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| Notice to Members 97-41 | NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market
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| Notice to Members 97-40 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1997
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| Notice to Members 97-39 | Independence Day: Trade Date — Settlement Date Schedule
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| Notice to Members 97-38 | SOES Tier Levels Set To Change July 1, 1997
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| Notice to Members 97-37 | NASD Regulation Requests Comment On Proposed Definition Of Correspondence For Rules Regarding Communications With The Public
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| Notice to Members 97-36 | NASD Interpretive Letters
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| Notice to Members 97-35 | Treasury's Foreign Assets Control Office Updates List Of Specially Designated Persons And Entities
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| Notice to Members 97-34 | Depository Trust Company To Launch Initial Public Offering Tracking System
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| For Your Information - May 1997 | For Your Information
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| Notice to Members FYI May 1997 | For Your Information
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| Notice to Members 97-33 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1997
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| Notice to Members 97-32 | NASD Regulation Files Proposed Changes To Disciplinary, Election, And Membership Procedures With The SEC
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| Notice to Members 97-31 | NASD Reminds Registered Persons Of Continuing Obligation To Update NASD Records
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| Notice to Members 97-30 | NASD Regulation Requests Comments On Amendments To The Free-Riding And Withholding Interpretation
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| Notice to Members 97-29 | NASD Regulation Discusses Member Disclosure Obligations And Requests Comment On The Appropriateness Of Adopting A Rule Governing Risk Disclosure
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| Notice to Members 97-28 | Approval Of Investment Company Rankings Amendments
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| Notice to Members 97-27 | Application Of NASD Conduct Rules To Group Variable Contracts And Other Exempted Securities
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| Notice to Members 97-26 | NASD Regulation Files Amendment To Bank Broker/Dealer Rule With The SEC
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| Notice to Members 97-25 | NASD Interpretive Position—NASD Rule 3050—Transactions For Or By Associated Persons
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| Notice to Members 97-24 | "Limited Edition" Treasury Securities
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| Notice to Members 97-23 | 1997 Direct Participation Program Directory
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| Notice to Members 97-22 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 24, 1997
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| Notice to Members 97-21 | Memorial Day: Trade Date — Settlement Date Schedule
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