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 86-67 | NASDAQ National Market System Grows to 2,580 Securities With 23 Voluntary Additions on October 7, 1986
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| Notice To Members 86-66 | Due Diligence Expense Reimbursements in Connection with Direct Participation Programs
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| Notice To Members 86-65 | Compliance with the NASD Rules of Fair Practice in the Employment and Supervision of Off-Site Personnel
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| Notice To Members 86-64 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-63 | NASD Operations Center Opens in Roekville, Maryland; New Addresses and Telephone Numbers
New Addresses and Telephone Numbers
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| Notice To Members 86-62 | NASDAQ National Market System Grows to 2,569 Securities With 27 Voluntary Additions on September 16, 1986
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| Notice To Members 86-61 | Proposed New Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions
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| Notice To Members 86-60 | Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 64, Acceptance and Settlement of COD Orders
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| Notice To Members 86-59 | Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 59, Close-Out Procedure; Buying-in
Buying-in
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| Notice To Members 86-58 | NASDAQ National Market System Grows to 2,550 Securities With 27 Voluntary Additions on September 2, 1986
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| Notice To Members 86-57 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-56 | NASDAQ National Market System Grows to 2,517 Securities With 17 Voluntary Additions on August 19, 1986
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| Notice To Members 86-55 | Request for Comments on Proposed Revisions to Schedule D of the NASD By-Laws
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| Notice To Members 86-54 | Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
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| Notice To Members 86-53 | Quarterly Checklist of Notices to Members
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| Notice To Members 86-52 | NASDAQ National Market System Grows to 2,507 Securities With 52 Voluntary Additions on August 5, 1986, and 2 Mandatory Inclusions on August 12, 1986
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| Notice To Members 86-51 | Automation of Test Administration for the Financial and Operations Principal Examination
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| Notice To Members 86-50 | Accurate Completion of Form U-4 (Uniform Application for Securities Industry Registration)
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| Notice To Members 86-49 | Request for Comments on Proposed Amendment to Schedule G of the NASD By-Laws
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| Notice To Members 86-48 | NASDAQ National Market System Grows to 2,457 Securities With 33 Voluntary Additions on July 15, 1986
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| Notice To Members 86-47 | Cusack, Light & Company, Inc. 101 Old Short Hills Road West Orange, New Jersey 07052
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| Notice To Members 86-46 | Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials"
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| Notice To Members 86-45 | NASDAQ National Market System Grows to 2,420 Securities With 18 Voluntary Additions on July 1, 1986
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| Notice To Members 86-43 | NASDAQ National Market System Grows to 2,398 Securities With 10 Voluntary Additions on June 17, 1986
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| Notice To Members 86-42 | NASDAQ National Market System Grows to 2,385 Securities With 25 Voluntary Additions on June 3, 1986
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| Notice To Members 86-41 | Presentations of Yield Quotations for Investment Company Shares in Communications With the Public
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| Notice To Members 86-40 | Request for Comments on Amendment to Free-Riding Interpretation Concerning Investment Partnerships
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| Notice To Members 86-39 | Request for Comments on Proposed Amendment to the Code of Procedure to Grant Discretion to the NASD to Hold Hearings in Eligibility Proceedings
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| Notice To Members 86-38 | Membership Vote on Proposed Amendments to Article III, Section 28 of the NASD Rules of Fair Practice and Article VII, Section 8 of the NASD By-Laws
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| Notice To Members 86-37 | Memorial Day Trade Date-Settlement Date Schedule
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| Notice To Members 86-36 | Firm Agreements With Customers Not To Testify In NASD Proceedings
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| Notice To Members 86-35 | Adoption of Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials"
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| Notice To Members 86-34 | NASDAQ National Market System Grows to 2,363 Securities With 28 Voluntary Additions on May 20, 1986
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| Notice To Members 86-33 | Request for Comments on a Proposed Amendment to the Corporate Financing Interpretation Concerning Sales Incentives for Real Estate Investment Trusts and Corporate Debt and Equity Offerings
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| Notice To Members 86-32 | NASDAQ National Market System Grows to 2,342 Securities With 36 Voluntary Additions on May 6, 1986, and 5 Mandatory Inclusions on May 13, 1986
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| Notice To Members 86-31 | Request for Comments on a Proposed Amendment to Article III, Section 19(f) of the NASD Rules of Fair Practice
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| Notice To Members 86-30 | Quarterly Checklist of Notices to Members
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| Notice To Members 86-29 | Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Relating to Short Sales
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| Notice To Members 86-28 | Request for Comments on Proposed Amendments to Schedule E of the NASD By-Laws
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| Notice To Members 86-27 | Amendments to Corporate Financing Filing Requirements Effective Immediately
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