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 96-40 | SOES Tier Levels Set To Change July 1, 1996
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| Notice to Members 96-39 | Request For Comments On Proposed Changes To Regulations G, T, And U
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| Notice to Members 96-38 | Treasury Issues Letter Clarifying Recordkeeping Requirements For Forward Settling Repurchase Agreement Transactions
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| Notice to Members 96-37 | Fed Approves Amendments To Regulation T
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| Notice to Members 96-36 | SEC Approves Amendment To The Primary Market-Maker Standards
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| Notice to Members 96-35 | Mail Vote — NASD Solicits Member Vote On Amendments To The NASD By-Laws To Make By-Laws Consistent With The "Plan Of Allocation And Delegation Of Functions By NASD To Subsidiaries"
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| Notice to Members 96-34 | Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996
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| Notice to Members 96-33 | NASD Clarifies Rules Governing RR/IAs
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| Notice to Members 96-32 | Members Reminded To Use Best Practices When Dealing In Speculative Securities
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| NASD Rule Filing Status - April 1996 | NASD Rule Filing Status (As of April 29, 1996)
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| Notice to Members 96-31 | Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996
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| Notice to Members 96-30 | Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996
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| Notice to Members 96-29 | Memorial Day: Trade Date — Settlement Date Schedule
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| Notice to Members 96-28 | NASD Revises Sanction Guidelines
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| Notice to Members 96-27 | Significant Disciplinary Actions Prompt Reentry Into The Regulatory Element Of The Continuing Education Program
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| Notice to Members 96-26 | SEC Approves Schedule C Changes Regarding Use Of The Modified Series 7 To Qualify Canadian Registrants
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| Notice to Members 96-25 | SEC Approves NASD Manual Revisions
Publication Scheduled For May
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| Notice to Members 96-24 | SEC Approves Rule Mandating TIF Immobilization
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| Notice to Members 96-23 | Treasury Issues Updated List Of Specially Designated Nationals And Blocked Persons
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| Notice to Members 96-22 | Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
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| Notice to Members 96-21 | Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1996
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| Notice to Members 96-20 | Good Friday: Trade Date — Settlement Date Schedule
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| Notice to Members 96-19 | Annual Check List of NASD Notices to Members
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| Notice to Members 96-18 | Compliance Desk Will Help Members Report Free-Riding And Withholding Information To NASD
Workshops Scheduled For Late April, Early May
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| Notice to Members 96-17 | SOES Tier Levels Set To Change April 1, 1996
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| Notice to Members 96-16 | NASD Adds Remote Sites to Deliver Training and Exams
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| Notice to Members 96-15 | SEC Approves NASD Proposals to Add Two New Options Position-Limit Tiers and Extend and Expand the NASD's Equity Option Position-Limit Hedge Exemption Pilot Program
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| Notice to Members 96-14 | SEC Approves Amendments To Sections 1(a)(v) And 73 Of NASD Uniform Practice Code Relating To The Use Of Standardized Limited Partnership Transfer Forms
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| For Your Information - February 1996 | Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
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| Notice to Members 96-13 | Fixed Income Pricing System Additions, Changes, and Deletions as of January 30, 1996
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| Notice to Members 96-12 | Nasdaq National Market Additions, Changes, and Deletions as of January 19, 1996
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| Notice to Members 96-11 | Presidents' Day: Trade Date — Settlement Date Schedule
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| Notice to Members 96-10 | Expanded Limit-Order Protection Rule Gets Further Clarification By NASD
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| Notice to Members 96-09 | SEC Approves NASD Proposal Relating To Third-Market Trading In IPOs Of Exchange-Listed Securities
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| Notice to Members 96-08 | SEC Approves Amendments To Section 59 Of The Uniform Practice Code Clarifying Delivery Deadlines That May Be Specified In Buy-In Notices
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| Notice to Members 96-07 | Fixed Income Pricing System Additions, Changes, and Deletions as of December 28, 1996
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| Notice to Members 96-06 | Nasdaq National Market Additions, Changes, and Deletions as of December 20, 1995
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| Notice to Members 96-05 | CRD Redesign Requires Actions By Members
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| Notice to Members 96-04 | 1995-96 Renewal Rosters And Final Adjusted Invoices
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| Notice to Members 96-03 | NASD Files With The SEC Proposed Rule Governing Members Operating On Bank Premises
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