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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
Notice To Members 86-26
Request for Comments on Proposed Exemption From Free-Riding Interpretation for Conversion of Savings and Loan Associations
Notice To Members 86-25
NASDAQ National Market System Grows to 2,307 Securities With 37 Voluntary Additions on April 15, 1986
Notice To Members 86-24
Kobrin Securities Inc. 415 Route 18 East East Brunswick, New Jersey 08816
Notice To Members 86-23
Request for Comments on Proposed Amendments to the NASD By-Laws and Code of Procedure to Accommodate Extended Hearings
Notice To Members 86-22
NASDAQ National Market System Grows to 2,280 Securities With 11 Voluntary Additions on April 1, 1986
Notice To Members 86-21
Holiday Settlement Schedule
Notice To Members 86-20
Request for Comment on Proposed Rule Requiring Supervisory Procedures on Limit Orders
Notice To Members 86-19
Treasury Department Amends the Currency Transaction Report
Notice To Members 86-18
NASDAQ National Market System Grows to 2,277 Securities With 20 Voluntary Additions on March 18, 1986
Notice To Members 86-17
Availability of New Outline for the Series 7 General Securities Representative Examination; Updating of Margin Questions on Option Principal Examinations
Updating of Margin Questions on Option Principal Examinations
Notice To Members 86-16
Amendments to SEC Rule l0b-10
Notice To Members 86-15
Monthly Reports of Aggregate "Short" Positions
Notice To Members 86-14
NASDAQ National Market System Grows to 2,259 Securities With 14 Voluntary Additions on March 4, 1986
Notice To Members 86-13
Request for Comments on Proposed Amendment to Schedule D of the NASD By-Laws to Authorize Trading Halts in NASDAQ Securities and Listed Securities Traded Over-the-Counter
Notice To Members 86-11
New Application Fee For Statutorily Disqualified Individuals
Notice To Members 86-10
NASDAQ National Market System Grows to 2,246 Securities With 22 Voluntary Additions on February 18, 1986
Notice To Members 86-9
Amendments to Article III of the NASD Rules of Fair Practice
Notice To Members 86-8
Brittenum & Associates, Inc. Lafayette Building 525 Louisiana Little Rock, Arkansas 72201
Notice To Members 86-7
Bartel Securities, Inc. 1 Oxford Valley, Suite 702 Langhorne, Pennsylvania 19047
Notice To Members 86-6
NASDAQ National Market System Grows to 2,237 Securities With 19 Voluntary Additions on February 4, 1986, and 4 Mandatory Inclusions on February 11, 1986
Notice To Members 86-5
Presidents' Day: Trade Date-Settlement Date Schedule
Notice To Members 86-4
New NASD Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions
Notice To Members 86-3
NASDAQ National Market System Grows to 2,218 Securities With 16 Voluntary Additions on January 21, 1986
Notice To Members 86-2
Quarterly Checklist of Notices Interested Persons
Notice To Members 86-1
Amendments to Venture Capital Restrictions Effective
Notice To Members 85-89
Adoption of New Rule of Fair Practice Relating to Permission for Members to Alter Their Methods of Operation Under SEC Rule 15c3-3 (the "Customer Protection Rule")
Notice To Members 85-88
NASDAQ National Market System Grows to 2,214 Securities With 29 Voluntary Additions on January 7, 1986
Notice To Members 85-87
Request for Comments on Amendments Concerning Short Sales
Notice To Members 85-86
Request for Further Comments on a Proposed New Rule Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
Notice To Members 85-85
Martin Luther King, Jr.'s Day; Trade Date — Settlement Date Schedule
Trade Date — Settlement Date Schedule
Notice To Members 85-84
New Rule of Fair Practice Relating to Private Securities Transactions
Notice To Members 85-83
NASDAQ National Market System Grows to 2,194 Securities With 16 Voluntary Additions on December 17, 1985
Notice To Members 85-82
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
Notice To Members 85-81
Request for Comments on Proposed Exemption from Free-Riding Interpretation for Conversions of Savings and Loan Associations
Notice To Members 85-80
Final Rules Regarding the Securities and Exchange Commission's Direct Shareholder Communication Program
Notice To Members 85-79
1986 Schedule of Holidays
Notice To Members 85-78
NASDAQ National Market System Grows to 2,183 Securities With 23 Voluntary Additions on December 3, 1985
Notice To Members 85-77
NASD Actions in the Area of Short Sale Regulation
Notice To Members 85-76
NASDAQ National Market System Grows to 2,172 Securities With 18 Voluntary Additions on November 19, 1985
Notice To Members 85-75
Amendments to SEC Rule 15c3-3, Customer Protection Rule
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