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 03-34 | Treasury and SEC Issue Final Rule Regarding Customer Identification Programs for Broker/Dealers
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| Notice to Members 03-33 | Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
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| Notice to Members 03-32 | Clarification of NASD Establishment of Consultative Committees
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| Notice to Members 03-31 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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| Notice to Members 03-30 | SEC Approves Revisions to NASD By-Laws Regarding Trading Activity Fee
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| Notice to Members 03-29 | NASD Requests Comment on Proposal to Amend Rule 3010 and Adopt Interpretive Material 3010-1
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| Notice to Members 03-28 | SEC Approves NASD Rule Proposal Requiring Quotation Recording and Reporting for OTC Equity Securities
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| Notice to Members 03-27 | NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory Council
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| Notice to Members 03-26 | SEC Approves Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
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| Notice to Members 03-25 | Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003
New Waiver Agreement Form
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| Notice to Members 03-24 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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| Notice to Members 03-23 | SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
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| Notice to Members FYI April 2003 | For Your Information
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| Notice to Members 03-22 | Dissemination of Additional Corporate Debt Securities Will Begin on April 14, 2003
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| Notice to Members 03-21 | SEC Approves Amendments to NASD Rules Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
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| Notice to Members 03-20 | Technical Changes to the NASD Registration Rules
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| Notice to Members 03-19 | NASD Expands Equity Option Hedge Exemption
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| Notice to Members 03-18 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
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| Notice to Members 03-17 | Sales Material for Municipal Fund Securities
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| For Your Information - March 2003 | For Your Information
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| For Your Information - March 2003 | For Your Information
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| Notice to Members FYI March 2003 | For Your Information
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| Notice to Members 03-16 | SEC Approves New Rule and Rule Amendments Concerning Audit Trail and Trading Halt Requirements for ATSs that Trade Security Futures
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| Notice to Members 03-15 | NASD Adopts Amendments to IM-2260 Regarding Rates of Reimbursement for Expenses Incurred in Forwarding Proxy and Other Material
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| Notice to Members 03-14 | NASD Announces Implementation of Web EFT and Amends Section 9 of Schedule A to the NASD By-Laws Establishing an Annual Subscription Charge for NASD Members That Use Web EFT
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| Notice to Members 03-13 | NASD Reminds Firms about Transaction Reporting Requirements and Announces Enforcement Actions Against Firms for Violations of MSRB Transaction Reporting Rules G-12 and G-14
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| Notice to Members 03-12 | SEC Approves Amendments to TRACE Rule 6250 and Other TRACE Rules: Transaction Information to be Disseminated on More than 4,000 Corporate Debt Securities
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| Notice to Members 03-11 | SEC Approves Changes to Rule on Clearly Erroneous Transactions
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| Notice to Members 03-10 | NASD Establishes Consultative Committees
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| Notice to Members 03-09 | NASD Announces Election Results for District Committees and District Nominating Committees
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| Notice to Members 03-08 | NASD Clarifies the Application of Short Interest Reporting Rule
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| Notice to Members 03-07 | NASD Reminds Members of Obligations When Selling Hedge Funds
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| Notice to Members 03-06 | NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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| Notice to Members 03-05 | 2003 Trade Date Settlement Date Schedule for Martin Luther King Day and President's Day
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| Notice to Members 03-04 | NASD Solicits Vote on Amendments to the NASD By-Laws Concerning the Definition of Disqualification and Failure to Pay Arbitration Awards
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| Notice to Members 03-03 | NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
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| Notice to Members 03-02 | NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
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| Notice to Members 03-01 | 2003 Renewal Reports and Final Renewal Statements
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| Notice to Members 02-85 | NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
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| Notice to Members FYI December 2002 | For Your Information
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