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 FYI February 1998 | For Your Information
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| Notice to Members 98-26 | SEC Approves Temporary Changes To NYSE Circuit Breaker/Trading Halt Rules
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| Notice to Members 98-25 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 23, 1998
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| Notice to Members 98-24 | Annual Checklist Of NASD Notices To Members
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| Notice to Members 98-23 | SEC Requests Comment On Proposed Amendments To Continuing Education Rules
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| Notice to Members 98-22 | Year 2000 Frequently Asked Questions
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| Notice to Members 98-21 | SEC Approves Amendments To Rule On Clearly Erroneous Transactions
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| Notice to Members 98-20 | Treasury Updates List Of Specially Designated Persons And Entities
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| Notice to Members 98-19 | SEC Requests Comment On Proposed Amendments To Net Capital Rule
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| Notice to Members 98-18 | NASD Regulation Permits Electronic Methods For Holding Annual Interviews Or Meetings With Registered Representatives
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| Notice to Members 98-17 | SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55)
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| Notice to Members 98-16 | SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42)
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| For Your Information - January 1998 | For Your Information For January
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| Notice to Members FYI January 1998 | For Your Information
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| Notice to Members 98-15 | NASD Regulation Requests Comment On Proposal To Adopt Recommendation And Disclosure Rules For Over-The-Counter (OTC) Equity Securities
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| Notice to Members 98-14 | NASD Requests Comment On Limiting Quotations On Over-The-Counter Bulletin Board (OTCBB) To Securities Of Reporting Issuers
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| Notice to Members 98-13 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 30, 1997
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| Notice to Members 98-12 | Presidents' Day: Trade Date — Settlement Date Schedule
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| Notice to Members 98-11 | SEC Approves Rules Regarding Supervision, Review, And Record Retention Of Correspondence
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| Notice to Members 98-10 | Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS)
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| Notice to Members 98-09 | 1997-98 Renewal Rosters And Final Adjusted Invoices
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| Notice to Members 98-08 | Treasury Requires Reporting Of Claims Against Government Of North Korea
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| Notice to Members 98-07 | Unregistered Foreign Equities And ADRs No Longer Eligible For Quotation In OTC Bulletin Board
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| Notice to Members 98-06 | SEC Approves Changes To Rules On Market Maker Withdrawals And Reinstatements
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| Notice to Members 98-05 | SEC Approves Changes To Third Market Trading Rules
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| Notice to Members 98-04 | Reminder Of Members' Obligations To Comply With Rule15c2-4
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| Notice to Members 98-03 | Electronic Delivery Of Information Between Members And Their Customers
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| Notice to Members 98-02 | SEC Approves Amendments To Rule 1010, 8000, And 9000 Series To Reflect Changes In NASD Corporate Organization
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| Notice to Members 98-01 | Arbitration Process Fees
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| For Your Information - December 1997 | For Your Information
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| Notice to Members December 1997 Survey | Survey
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| Notice to Members FYI December 1997 | For Your Information
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| Notice to Members 97-97 | Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts
And For Other Purposes
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| Notice to Members 97-96 | Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey
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| Notice to Members 97-95 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 21, 1997
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| Notice to Members 97-94 | NASD 1998 Holiday Schedule
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| Notice to Members 97-93 | Trade Date — Settlement Date Schedule for 1998
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| Notice to Members 97-92 | NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices To Members And Regulatory & Compliance Alert
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| Notice to Members 97-91 | NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation
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| Notice to Members 97-90 | SOES Tier-Size Levels Set To Change January 1, 1998
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