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.
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| Notice to Members 06-15 | SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules
NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface
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| Notice to Members 06-14 | SEC Approves Amendments to the Short Interest Reporting Requirements
Effective Date: July 3, 2006
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| Notice to Members 06-13 | Validation of Electronic Blue Sheet Systems: Intermarket Surveillance Group Requires Validation by March 31, 2006
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| Notice to Members 06-12 | Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006, Effective Date of Uniform Definition: NASD: July 3, 2006
NYSE: September 9, 2005
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| Notice to Members 06-11 | SEC Approves Amendment to NASD Interpretive Material 3013 Regarding Timing of Submission of Report that Evidences Processes to a Member's Board of Directors and Audit Committee
Effective Date: March 17, 2006
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| Notice to Members 06-10 | NASD Revises Sanction Guidelines
Effective Date: March 31, 2006
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| Notice to Members 06-09 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Notice to Members 06-08 | Amendments Relating to the Status of Persons Serving in the Armed Forces of the United States
Effective Dates: IM-1000-2(a) and IM-1000-2(b): November 15, 2005; IM-1000-2(c): March 27, 2006
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| Notice to Members 06-07 | SEC Approves Amendments to Anti-Money Laundering Compliance Program Rule and Adoption of Interpretive Material
Effective Date: March 6, 2006
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| Notice to Members 06-06 | NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Comment Period Expires February 23, 2006; Comment Period extended to March 3, 2006
The comment period was extended to March 3, 2006. |
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| Notice to Members 06-05 | SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
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| Notice to Members 06-04 | SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance
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| Notice to Members 06-03 | NASD Provides Guidance Regarding New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
Effective Date: January 9, 2006
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| Notice to Members 06-02 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006
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| Notice to Members 06-01 | SEC Approves Immediate Dissemination of Information on TRACE Transactions
Effective Date: January 9, 2006
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| For Your Information - December 2005 | For Your Information
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| Notice to Members FYI December 2005 | For Your Information
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| Notice to Members 05-85 | SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Effective January 30, 2006
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| Notice to Members 05-83 | NASD Notice of Meeting and Proxy
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| Notice to Members 05-84 | NASD Announces Election Results for the District Committee for District 7
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| Notice to Members 05-82 | SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Effective Date: January 17, 2006
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| Notice to Members 05-81 | 2006 Trade Date — Settlement Date Schedule
This Notice has been updated to reflect the removal of Veterans' Day from the Trade Date - Settlement Date schedule, and to correct the Thanksgiving Reg. T date for the November 24 trade date. |
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| Notice to Members 05-80 | SEC Approves Amendments to IM-8310-2 Regarding the Publication of Decisions Issued by the National Adjudicatory Council (NAC) Pursuant to NASD Rule 1015
Effective Date: January 12, 2006
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| Notice to Members 05-79 | Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees
Implementation Date: January 1, 2006
This version corrects the Series 22 (Direct Participation Programs Representative) Fee. |
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| Notice to Members 05-78 | SEC Approves Amendments to the OATS Rules
Effective Date: May 8, 2006
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| Notice to Members 05-77 | Transactions in TRACE-Eligible Securities That Occur in Connection with Options, Credit Default Swaps, Other Swaps or Similar Instruments Must Be Reported to TRACE
NTM 05-77 has been superseded by Notice 07-61 |
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| Notice to Members 05-76 | Nominees for NASD Board of Governors
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| Notice to Members 05-74 | NASD Announces Election Results for District Committees and District Nominating Committees
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| Notice to Members 05-75 | Supervisory Controls and Annual CEO Certification
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| Notice to Members 05-73 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006
Payment Deadline: December 14, 2005
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| Notice to Members 05-72 | SEC Approves Amendments to NASD Rule 3150, Regarding Reporting Requirements for Clearing Firms, and NASD Rule 3230, Regarding Requirements for Clearing Agreements
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| Notice to Members 05-71 | SEC approves NASD Interpretive Material to Rule 9216 regarding NASD's MRVP
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| Notice to Members 05-70 | Revisions to the Series 4, 6 and 9/10 Examination Programs
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| Notice to Members 05-69 | SEC Approves New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
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| Notice to Members 05-68 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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| Notice to Members 05-67 | SEC Approves Uniform Branch Office Definition and Related Interpretive Material
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| Notice to Members 05-66 | SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5
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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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