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 01-47 | SEC Approves Rule Change Prohibiting Publication Of Quotations Or Indications Of Interest In A Security During A Trading Halt (Note: The effective date for amendments to Rule 3340 has been delayed until October 9, 2001)
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems. |
|
| Notice to Members 01-46 | SEC Approves Extension Of Limit Order Protection Principles To Certain OTCBB Securities On A Pilot Basis
|
|
| Notice to Members 01-45 | NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public
|
|
| Notice to Members 01-44 | SEC Issues Interpretive Guidance Concerning Exchange Act Rules 11Ac1-5 And 11Ac1-6
|
|
| Notice to Members 01-43 | NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
|
|
| Notice to Members 01-42 | Nominees For NASD Board Of Governors
|
|
| For Your Information - June 2001 | For Your Information (June)
|
|
| Notice to Members FYI June 2001 | For Your Information
|
|
| Notice to Members 01-41 | SEC Approves PORTAL Rule Amendments
|
|
| Notice to Members 01-40 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of April 23, 2001
|
|
| Notice to Members 01-39 | SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings
Related Qualification Examination (Series 82) Is Effective
|
|
| Notice to Members 01-38 | NASD Regulation Requests Comment On Proposed Amendments To The Taping Rule
|
|
| Notice to Members 01-37 | NASD Regulation Extends Deadline For Delivery Of Margin Disclosure Statement To Existing Non-Institutional Customers To January 31, 2002
|
|
| Notice to Members 01-36 | NASD Regulation, Inc. Requests Comment On Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer Of Customer Accounts
|
|
| Notice to Members 01-35 | NASD Regulation Requests Comment On Steps That Can Be Taken To Streamline NASD Rules
|
|
| Notice to Members 01-34 | Memorial Day: Trade Date — Settlement Date Schedule
|
|
| Notice to Members 01-33 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of March 22, 2001
|
|
| Notice to Members 01-32 | Series 24, 26, And 62 Modified
|
|
| Notice to Members 01-30 | Member Obligations To Provide Statistical Information About Order Routing Under Rule 11Ac1-6 Of The Securities Exchange Act Of 1934
|
|
| Notice to Members 01-29 | SEC Approves Amendments To Prohibit Terminated Or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers In The NASD Arbitration Forum
|
|
| Notice to Members 01-31 | SEC Approves NASD Rule Proposal Requiring Delivery Of Margin Disclosure Statement To Non-Institutional Customers
|
|
| Notice to Members 01-28 | Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of February 22, 2001
|
|
| Notice to Members 01-27 | NASD Revises Sanction Guidelines
|
|
| Notice to Members 01-26 | SEC Approves Proposed Rule Change Relating To Day-Trading Margin Requirements
|
|
| Notice to Members 01-25 | SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis
|
|
| Notice to Members 01-24 | SEC Approves Proposed Changes To Rule 2330(f)(2) Relating To Performance Fees
|
|
| Notice to Members 01-23 | Suitability Rule And Online Communications
|
|
| Notice to Members 01-22 | NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
|
|
| For Your Information - March 2001 | For Your Information (March)
|
|
| Notice to Members FYI March 2001 | For Your Information
|
|
| Notice to Members 01-21 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 22, 2001
|
|
| Notice to Members 01-20 | Nasdaq Announces Decimalization Rule Changes
|
|
| Notice to Members 01-19 | SEC Approves Trade Reporting For PORTAL Securities
|
|
| Notice to Members 01-18 | SEC Approves Rules To Require Fixed Income Transaction Reporting And Dissemination
|
|
| Notice to Members 01-17 | Web CRD E-Mail Notifications Regarding Regulatory Element Requirements And Notifications Of CE Inactive Registered Persons
|
|
| For Your Information - February 2001 | For Your Information (February)
|
|
| Notice to Members FYI February 2001 | For Your Information
|
|
| Notice to Members 01-15 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 26, 2000
|
|
| Notice to Members 01-14 | SEC Approves Revision To Membership And Registration Rule 1120 — Continuing Education Requirements — Permitting In-Firm Delivery
|
|
| Notice to Members 01-12 | Nasdaq Announces Additional Decimalization Pilot Phase For March 26, 2001
|