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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 05-65
SEC Approves Amendments Relating to Rule 2790
Notice to Members 05-64
SEC Approves Amendments to IM-2110-2 to Require Members to Provide Price Improvement to Customer Limit Orders in Certain Circumstances and to Expand IM-2110-2 to Exchange-Listed Securities
Notice to Members 05-63
NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting
Comment Period Expired November 29, 2005
Notice to Members 05-62
Nominees for District Committee and District Nominating Committee
Notice to Members 05-61
NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee
Comment Period Expired October 31, 2005
Notice to Members 05-60
Important Information Regarding the Suspension of Trading in the Securities of Bancorp International Group, Inc. (BCIT.PK)
Notice to Members 05-59
NASD Provides Guidance Concerning the Sale of Structured Products
Notice to Members 05-58
Intermarket Surveillance Group (ISG)1 Requires Validation of Electronic Blue Sheet Submissions
Notice to Members 05-57
Guidance to Members Affected by Hurricane Katrina
Notice to Members 05-56
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Notice to Members 05-55
SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
Notice to Members 05-54
NASD Announces Nominee for Regional Industry Member Vacancy on the National Adjudicatory Council
Notice to Members 05-52
SEC Approves Amendments to TRACE Fee Structure Establishing an Enterprise Fee and Lowering Fee for Receipt of Real-Time TRACE Transaction Data via Web Browser
Notice to Members 05-51
Member Obligations with Respect to Volume-Weighted Average Price Transactions
Notice to Members 05-50
Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities
Notice to Members 05-53
Due to a change in the publishing schedule, there is no Notice numbered 05-53.
Notice to Members 05-49
NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
Notice to Members 05-48
Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
Notice to Members 05-47
Unexpected Close of Securities Markets
Notice to Members 05-46
SEC Approves Amendments Relating to Taping Rule "Opt Out" and Exemption Provisions
Notice to Members 05-45
Agency Securities Lending Disclosure Initiative
Notice to Members 05-43
NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Notice to Members 05-44
SEC Approves Amendments Relating to Annual Compliance Meetings
Notice to Members 05-42
NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
Notice to Members 05-41
Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.1
Notice to Members 05-39
NASD Suggests Best Practices for Fingerprinting Procedures
Notice to Members 05-38
NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts
Immediate Action May Be Required to Ensure Compliance
Notice to Members 05-37
NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data
Notice to Members 05-40
NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities Comment Period Expired August 5, 2005
Notice to Members 05-36
SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
Notice to Members 05-35
SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
Notice to Members 05-34
Prohibit Research Analysts from Participating in a Road Show and from Communicating with Customers in the Presence of Investment Banking Personnel or Company Management about an Investment Banking Services Transaction
Notice to Members 05-33
Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO
Notice to Members 05-32
SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
Notice to Members 05-31
Pilot Program to Increase Position and Exercise Limits for Equity Options and New Reverse Collar Strategy Added to Equity Option Hedge Exemptions
Notice to Members 05-30
SEC Approves New Alternative Display Facility (ADF) Pilot Rule Giving NASD Authority to Receive and Review Complaints Alleging Denial of Access to an ADF Market Participant Quote
Notice to Members 05-29
Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
Notice to Members 05-28
NASD Reminds Members that the TRACE Reporting Period Will Be Reduced to 15 Minutes on July 1, 2005, and Rescinds Interpretive Guidance Regarding Rejected TRACE Transaction Reports
Notice to Members 05-27
NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period (Comment Period Expired May 27, 2005)
Notice to Members 05-26
NASD Recommends Best Practices for Reviewing New Products
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