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 |
|---|---|---|
| Notice to Members 96-80 | SEC Requests Comments On Proposed Amendments To SEC Rules 17a-3 And 17a-4
|
|
| Notice to Members 96-79 | Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996
|
|
| Notice to Members 96-78 | Christmas Day And New Year's Day: Trade Date—Settlement Date Schedule
|
|
| Notice to Members 96-77 | CRD Will Provide Firms With Advisory Messages When Significant Disciplinary Actions Require Reentry Of Individuals Into The Regulatory Element Of The Continuing Education Program
|
|
| Notice to Members 96-76 | SEC Approves Amendment To IM-8310-2 Regarding The Availability Of Disciplinary Complaints And Disciplinary Decisions Upon Request
|
|
| Notice to Members 96-75 | Fixed Income Pricing System Additions, Changes, and Deletions as of October 3, 1996
|
|
| Notice to Members 96-74 | Veterans' Day And Thanksgiving Day: Trade Date—Settlement Date Schedule
|
|
| Notice to Members 96-73 | Members Reminded To Report Executive Representative And Address Changes
|
|
| Notice to Members 96-72 | NASD Regulation Computerized Delivery Site Transition To Sylvan Continues
|
|
| Notice to Members 96-71 | Broker/Dealer And Agent Renewals For 1997
|
|
| Notice to Members 96-70 | NASD Reminds Members Of Prohibition Against Commercial Use Of Information Filed Under The Federal Election Campaign Act
|
|
| Notice to Members 96-69 | Industry/Regulatory Council On Continuing Education Issues Update On The Status Of The Securities Industry Continuing Education Program
|
|
| Notice to Members 96-68 | NASD Solicits Member Comment On Proposed Rules Relating To Prospectus Disclosure Of Cash And Non-Cash Compensation For The Sale Of Investment Company Securities
|
|
| Notice to Members 96-67 | Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds
|
|
| Notice to Members 96-66 | SEC Expands Scope Of Conduct Rules And Other NASD Rules To Government Securities
Approves New Suitability Interpretation
|
|
| Notice to Members 96-65 | New SEC Rules On Order Handling And Execution Of Customer Orders
|
|
| Notice to Members 96-64 | Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
|
|
| Notice to Members 96-63 | Columbus Day: Trade Date — Settlement Date Schedule
|
|
| Notice to Members 96-62 | SOES Tier Levels Set To Change October 1, 1996
|
|
| Notice to Members 96-61 | NASD Regulation Computerized Delivery Site Transition Continues
|
|
| Notice to Members 96-60 | Clarification Of Members' Suitability Responsibilities Under NASD Rules With Special Emphasis On Member Activities In Speculative And Low-Priced Securities
|
|
| Notice to Members 96-59 | NASD Solicits Member Comment On Proposed Rule Governing Tape Recording Of Telephone Conversations
|
|
| Notice to Members 96-58 | Approval Of Amendments That Require Members To Provide Information To Other Regulators For Regulatory Purposes
|
|
| Notice to Members 96-57 | Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996
|
|
| Notice to Members 96-56 | Labor Day: Trade Date — Settlement Date Schedule
|
|
| Notice to Members 96-55 | NASD Regulation Offers Software To Help Members Comply With Continuing Education Requirements
|
|
| Notice to Members 96-54 | NASD Regulation Reminds Members Of Reporting Obligations Of MSRB Rules G-37 And G-38, And Announces Sanction Guidelines For Failure To Report Form G-37/G-38
|
|
| Notice to Members 96-53 | Approval Of Amendments To The Definitions Of Bona Fide Independent Market And Bona Fide Independent Market Maker
|
|
| Notice to Members 96-52 | NASD Solicits Member Comments On Proposed Rules Relating To The Sale Of Variable Life Insurance Contracts And Variable Annuity Contracts
|
|
| Notice to Members 96-51 | Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
|
|
| Notice to Members 96-50 | Supervisory And Other Obligations Related To Use Of Electronic Media
|
|
| Notice to Members 96-49 | Members Reminded To Report Address, Contact Changes To NASD
|
|
| Notice to Members 96-48 | New London Training Center
Registered Representatives In England, Scotland, And Wales Must Comply With Continuing Education Requirements
|
|
| Notice to Members 96-47 | NASD Regulation, Inc., Expanding Computerized Delivery Sites
|
|
| Notice to Members 96-46 | CRD Disclosure Conversion
|
|
| Notice to Members 96-45 | NASD Appoints Ombudsman
|
|
| Notice to Members 96-44 | NASD Interprets NASD Rule 2110 And Files Telemarketing Rule Changes With SEC
|
|
| Notice to Members 96-43 | SEC Approves NASD By-Laws Amendments Regarding Gross Revenue
|
|
| Notice to Members 96-42 | Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996
|
|
| Notice to Members 96-41 | Independence Day: Trade Date — Settlement Date Schedule
|