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 03-42 | SEC Approves Proposed Changes to Forms U4 and U5
Implementation Date: July 14, 2003
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| Notice to Members 03-41 | NASD Has Amended Section 4(b) of Schedule A to the NASD By-Laws to Increase and Establish New Fingerprint Processing Fees
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| Notice to Members 03-39 | of the First Phase of Electronic Fingerprint Processing in July 2003 and Amends Section 4 of Schedule A to the NASD By-Law to Increase and Establish New Fingerprint Processing Fees (This Notice was withdrawn on 07/09/03)
This Notice was withdrawn on 07/09/03. |
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| Notice to Members 03-40 | The Regulatory Element Continuing Education Supervisors Program (S201) to be available July 14, 2003, at Pearson VUE centers in London and Paris
the S201 is available now for members that provide In-Firm Delivery of the Regulatory Element.
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| Notice to Members 03-38 | SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
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| Notice to Members 03-37 | New Series 23 Examination
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| Notice to Members 03-36 | SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 45 Minutes
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| Notice to Members 03-35 | SEC Approves NASD Rule Change Giving NASD Authority to Issue and Enforce Temporary Cease and Desist Orders
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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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