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 03-06 | 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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| Notice to Members 02-84 | 2003 Trade Date — Settlement Date Schedule
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| Notice to Members 02-83 | NASD to Deduct Unpaid Mediation Filing Fees from CRD Accounts
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| Notice to Members 02-82 | Frequently Asked Questions Relating to Trading Halts
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| Notice to Members 02-81 | NASD Reduces Certain TRACE Fees for the 4th Quarter of 2002
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| Notice to Members 02-80 | Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
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| For Your Information - October 2002 | For Your Information (November)
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| Notice to Members FYI November 2002 | For Your Information
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| Notice to Members 02-79 | NASD Notice of Meeting and Proxy (A proxy package was sent to each NASD Executive Representative on November 4)
A proxy package was sent to each NASD Executive Representative on November 4. |
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| Notice to Members 02-78 | NASD Adopts Amendments to Rule 3011 to Require Members to Provide to NASD Contact Information for an Anti-Money Laundering Compliance Person(s)
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| Notice to Members 02-77 | SEC Approves Rule Establishing New Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
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| Notice to Members 02-76 | NASD Issues Interpretive Guidance to the Trade Reporting and Compliance Engine Rules (TRACE Rules)
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| Notice to Members 02-75 | NASD Provides Additional Information on the Trading Activity Fee
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| Notice to Members 02-74 | NASD Requests Comment on its Public Information Review Initiative
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| Notice to Members 02-73 | SEC Approves New Rules and Rule Amendments Concerning Security Futures
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| For Your Information - October 2002 | For Your Information (October)
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| Notice to Members FYI October 2002 | For Your Information
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| Notice to Members 02-72 | Veterans' Day and Thanksgiving Day
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| Notice to Members 02-71 | NASDAQ Provides Guidance on Recent Amendments to "Trade-or-Move" Rule and SuperMontage Opening Process
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| Notice to Members 02-70 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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| Notice to Members 02-69 | Clarification of Member Obligations Regarding Brokered Certificates of Deposit
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| Notice to Members 02-68 | in California arbitration proceedings must waive contested California arbitrator disclosure standards if all parties who are investors, or associated persons with claims of statutory employment discrimination, have executed waiver agreements
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| Notice to Members 02-67 | Broker/Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2003
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| Notice to Members 02-66 | SEC Approves NASD Rule 2315
Recommendations to Customers in OTC Equity Securities
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| Notice to Members 02-65 | Nominees for District Committee and District Nominating Committee
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| Notice to Members 02-64 | NASD Advises Members that Participation in Tying Arrangements that Violate Federal Statutes Also Violate Just and Equitable Principles of Trade
Requests Information Concerning Such Practices
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| Notice to Members 02-63 | NASD Provides Additional Information on Amendments to Section 8 of Schedule A to NASD's By-Laws to Eliminate the Regulatory Fee and to Implement a New Transaction-Based Trading Activity Fee as Announced in Notice to Members 02-41
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| Notice to Members 02-62 | NASD Announces Nominees for Regional Industry Member Vacancies on the National Adjudicatory council
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| Notice to Members 02-61 | SEC Approves Proposed Changes to the Taping Rule and NASD Interpretive Material 8310-2
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| Notice to Members 02-60 | Columbus Day
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| Notice to Members 02-59 | SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
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| Notice to Members 02-58 | SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims
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| Notice to Members 02-57 | Use of Negative Response Letters for the Bulk Transfer of Customer Accounts
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