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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
Final Reporting Regulations Under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA")
Notice To Members 83-39
SEC Adopts Amendments to Rule 10b-10; Confirmation Rule
Notice To Members 83-38
Confirmation Rule
Subscriptions to Monthly Statistical Reports of NASDAQ Issues
Notice To Members 83-36
44 Securities Scheduled to Join NMS on August 9, 1983
Notice To Members 83-37
Adoption of Section 9 of Article III, Schedule A of the Association's By-Laws; Fee on Cleared Transactions
Notice To Members 83-35
Fee on Cleared Transactions
Western Pacific Securities, Inc. 1880 Century Park East Los Angeles, California
Notice To Members 83-34
Compliance With State Registration Requirements
Notice To Members 83-33
50 Securities Scheduled to Join NMS on July 19
Notice To Members 83-32
Adoption of Revised and Simplified Regulation T of the Federal Reserve Board
Notice To Members 83-31
Independence Day Trade Date—Settlement Date Schedule
Notice To Members 83-30
Gibralco, Inc. 1321 Seventh Street Santa Monica, California
Notice To Members 83-29
Additional Securities Voluntarily Added Into National Market System
Notice To Members 83-28
MBD Investors, Inc. RD#1 Box 60 AA Enon Valley, Pennsylvania 16120
Notice To Members 83-27
Adoption of Amendments to Interpretation on Free-Riding and Withholding
Notice To Members 83-26
Request for Comments on Amendment to Corporate Financing Filing Requirements
Notice To Members 83-25
Request for Vote on Proposed Corporate Financing Rule
Notice To Members 83-24
Memorial Day Trade Date — Settlement Date Schedule
Notice To Members 83-23
Real-Time Transaction Reporting in Additional 57 NASDAQ NMS Securities Effective May 24, 1983
Notice To Members 83-22
Gerald Greenspan
Notice To Members 83-21
Quarterly Checklist of Notices to Members
Notice To Members 83-20
Approval of Revisions to Qualification Requirements of Foreign Issues on NASDAQ
Notice To Members 83-19
43 Additional Securities Are Mandated Into National Market System
Notice To Members 83-18
Amendments to Rules Governing Transactions Executed for Persons Associated with Another Member
Notice To Members 83-17
Underwriting Compensation Received by Members in Public Corporate Offerings
Notice To Members 83-15
Holiday Settlement Schedule
Notice To Members 83-14
Request For Comments on Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs
Notice To Members 83-13
Clarification of NASD Filing Requirements for Offerings Made Pursuant to SEC Rule 415
Notice To Members 83-12
Formation of Federal Task Group on Regulation of Financial Services
Notice To Members 83-11
The Tax Equity and Fiscal Responsibility Act of 1982
Notice To Members 83-10
Bell & Beckwith 234 Erie Street Toledo, Ohio
Notice To Members 83-9
Amendments to Association By-Laws
Notice To Members 83-8
Solicitation of Comments on SEC Proposed Anti-Internalization Rule
Notice To Members 83-7
Proposed Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit Investment Trust Securities
Notice To Members 83-6
Holiday Settlement Schedule — February, 1983
Notice To Members 83-5
National Market System Grows to 789 Securities With 50 Additions on February 14
Notice To Members 84-4
Real-Time Transaction Reporting in Additional 100 NASDAQ NMS Securities Effective February 8, 1983
Notice To Members 83-4
Securities and Exchange Commission Approves Amendments to Rule 17f-2; Fingerprinting of Securities Industry Personnel
Notice To Members 83-3
Fingerprinting of Securities Industry Personnel
Effect of Tax Law Changes on NASD Qualification Examinations
Notice To Members 83-2
Real-Time Transaction Reporting in NASDAQ NMS Securities updated
Notice To Members 83-1
NOT AVAILABLE AT THIS TIME
NOT AVAILABLE AT THIS TIME
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