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 05-65 | SEC Approves Amendments Relating to Rule 2790
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| 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
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| Notice to Members 05-63 | NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting
Comment Period Expired November 29, 2005
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| Notice to Members 05-62 | Nominees for District Committee and District Nominating Committee
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| Notice to Members 05-61 | NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee
Comment Period Expired October 31, 2005
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| Notice to Members 05-60 | Important Information Regarding the Suspension of Trading in the Securities of Bancorp International Group, Inc. (BCIT.PK)
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| Notice to Members 05-59 | NASD Provides Guidance Concerning the Sale of Structured Products
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| Notice to Members 05-58 | Intermarket Surveillance Group (ISG)1 Requires Validation of Electronic Blue Sheet Submissions
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| Notice to Members 05-57 | Guidance to Members Affected by Hurricane Katrina
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| Notice to Members 05-56 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Notice to Members 05-55 | SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
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| Notice to Members 05-54 | NASD Announces Nominee for Regional Industry Member Vacancy on the National Adjudicatory Council
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| 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
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| Notice to Members 05-51 | Member Obligations with Respect to Volume-Weighted Average Price Transactions
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| Notice to Members 05-50 | Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities
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| Notice to Members 05-53 | Due to a change in the publishing schedule, there is no Notice numbered 05-53.
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| Notice to Members 05-49 | NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
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| Notice to Members 05-48 | Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
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| Notice to Members 05-47 | Unexpected Close of Securities Markets
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| Notice to Members 05-46 | SEC Approves Amendments Relating to Taping Rule "Opt Out" and Exemption Provisions
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| Notice to Members 05-45 | Agency Securities Lending Disclosure Initiative
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| Notice to Members 05-43 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
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| Notice to Members 05-44 | SEC Approves Amendments Relating to Annual Compliance Meetings
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| Notice to Members 05-42 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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| Notice to Members 05-41 | Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.1
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| Notice to Members 05-39 | NASD Suggests Best Practices for Fingerprinting Procedures
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| 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
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| 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
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| 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
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| Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
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| Notice to Members 05-35 | SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
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| 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
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| Notice to Members 05-33 | Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO
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| Notice to Members 05-32 | SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
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| 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
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| 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
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| Notice to Members 05-29 | Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures
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| 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
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| 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)
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| Notice to Members 05-26 | NASD Recommends Best Practices for Reviewing New Products
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