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 95-70 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 95-69 | Treasury Amends Bank Secrecy Act; Requires Additional Recordkeeping Requirements For Wire Transfers
Requires Additional Recordkeeping Requirements For Wire Transfers
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| Notice To Members 95-68 | Fed. Proposes Changes To Reg. T;
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| Notice To Members 95-67 | NASD Clarifies The Expanded Limit-Order Protection Interpretation
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| Notice To Members 95-66 | PROCTOR Adds PRO System To Automate Regulatory Element Training
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| Notice To Members 95-65 | NASD Files NASD Manual Revisions With The SEC For Review And Approval
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| Notice To Members 95-64 | SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice And Part I Of Schedule D To The NASD By-Laws Relating To Limited Partnership Rollup Transactions
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| Notice To Members 95-63 | SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice Relating To Freely Tradeable Direct Participation Program Securities
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| Notice To Members 95-62 | SEC Approves New NASD Mediation Rules That Take Effect August 1, 1995
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| Notice To Members 95-61 | Mail Vote—NASD Solicits Member Vote On Amendments To The By-Laws To Include Statutory Disqualification Provisions Adopted By Congress;
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| Notice To Members 95-60 | NASD Solicits Member Comment On Refined N*Aqcess Proposal;
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| Notice To Members 95-59 | Temporary Fee Increase For Agent Registration Filings;
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| Notice To Members 95-58 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 27, 1995
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| Notice To Members 95-57 | Nasdaq National Market Additions, Changes, And Deletions As Of June 27, 1995
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| Notice To Members 95-56 | NASD Files With The SEC Proposals Related To Non-Cash Incentive Programs, Disclosure Of Cash Compensation, And Direct Payments To Associated Persons
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| Notice To Members 95-55 | SEC Approves Depository Eligibility Requirements For Nasdaq Securities
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| Notice To Members 95-54 | SEC Approves Amendments To Article III, Section 21 Of The NASD Rules Of Fair Practice Relating To Cold-Calling Requirements
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| Notice To Members 95-43 | SEC Approves Expanded Limit-Order Protection Rule
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| Notice To Members 95-53 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 31, 1995
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| Notice To Members 95-52 | Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1995
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| Notice To Members 95-51 | Independence Day: Trade Date-Settlement Date Schedule
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| Notice To Members 95-50 | Availability Of New Qualification Examination For Registered Options Limited Representative (Series 42)
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| Notice To Members 95-49 | NASD Clarifies Use Of Bank And Financial Institution Logos And Names
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| Notice To Members 95-48 | Treasury Approves Risk Assessment Rules For Government Securities Broker/Dealers
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| Notice To Members 95-47 | SEC Approves NASD Proposal To Raise Position Limits For Certain Equity Securities Not Subject To Standardized Options Trading
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| Notice To Members 95-46 | SEC Approves Amendment To UPC To Add New Section 72
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| Notice To Members 95-45 | SEC Approves Amendments To NASD Interpretation Of Forwarding Of Proxy And Other Materials Under Article III, Section 1 Of The Rules Of Fair Practice
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| Notice To Members 95-44 | Request For Comments On Proposed Amendments To The Exception To The Qualified Independent Underwriter Requirement In Schedule E To The NASD By-Laws;
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| Notice To Members 94-51 | Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1994
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| Notice To Members 94-50 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 25, 1994
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| Notice To Members 94-5 | Nasdaq National Market Additions, Changes, And Deletions as of December 27, 1993
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| Notice To Members 94-49 | Independence Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-48 | SOES Tier Levels Set To Change July 11, 1994
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| Notice To Members 94-47 | SEC Issues Policy Governing Broker/ Dealer Activity On Bank Premises
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| Notice To Members 94-46 | NASD Reminds Members Of Their Obligations When Trading Options
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| Notice To Members 94-45 | SEC Approves Schedule E Conflict-Of-lnterest Provisions
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| Notice To Members 95-42 | SEC Approves Amendments To Prospectus Delivery Requirements To Accommodate T+3 Settlement
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| Notice To Members 95-41 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 27, 1995
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| Notice To Members 95-40 | Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1995
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| Notice To Members 95-39 | Members Reminded To Report Address, Contact Changes To NASD
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