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 95-38 | Treasury Adopts Amendments To Form G-405 And Form G-FIN-4
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| Notice To Members 95-37 | SEC Approves NASD Proposal Amending The Foreign-Associate Provisions Of Schedule C To The NASD By-Laws
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| Notice To Members 95-36 | SEC Approves T+3-Related Amendments To The NASD Uniform Practice Code And Rules Of Fair Practice
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| Notice To Members 95-34 | Survey Of Members That Transact Business In PORTAL Securities
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| Notice To Members 95-33 | Mail Vote—NASD Solicits Member Vote On Measures To Discipline Members And Registered Persons For Failing To Honor Arbitration And Mediation Settlement Agreements; Last Voting Date: June 15, 1995
Last Voting Date: June 15, 1995
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| Notice To Members 94-44 | Board Approves Clarification On Applicability Of Article III, Section 40 Of Rules Of Fair Practice To Investment Advisory Activities Of Registered Representatives
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| Notice To Members 94-43 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 29, 1994
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| Notice To Members 94-42 | Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1994
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| Notice To Members 94-41 | NASD Clarifies Compensation Disclosure Requirements For Mutual Funds
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| Notice To Members 94-40 | NASD Solicits Member Comment On Trading Activity In Advance Of Research Reports;
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| Notice To Members 94-39 | Treasury Implements Buy-In Requirements For Government Securities
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| Notice To Members 94-38 | SEC Seeks Comment On Rule 10b-10 Changes And New Rule 15c2-13
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| Notice To Members 94-37 | SEC Issues Interpretive Statement Regarding Municipal Securities Disclosures; Proposes Changes To Rule 15c2-12
Proposes Changes To Rule 15c2-12
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| Notice To Members 94-36 | SEC Approves Communication Guidelines For Variable Products
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| Notice To Members 94-35 | SEC Approves NBCC-Review Subcommittee
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| Notice To Members 94-34 | SEC Approves MSRB Rule G-37
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| Notice To Members 94-33 | SEC Approves MSRB Rule G-19 Amendments
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| Notice To Members 94-32 | SEC Chairman Endorses Periodic Training Of All Registered Personnel
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| Notice To Members 95-32 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 29, 1995
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| Notice To Members 95-31 | Nasdaq National Market Additions, Changes, And Deletions As Of March 27, 1995
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| Notice To Members 95-30 | Memorial Day: Trade Date-Settlement Date Schedule
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| Notice To Members 95-29 | Treasury Approves Amendments To Capital Requirements Under The Government Securities Act Of 1986
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| Notice To Members 95-28 | Treasury Provides Government Securities Broker/Dealers With Exemptive Relief In Calculating Haircuts For Options On Certain Mortgage-Backed Securities
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| Notice To Members 95-27 | NASD Introduces Revised Free-Riding Questionnaire And Form FR-1
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| Notice To Members 95-26 | Conversion To T+3 Settlement, Reg. T, And SEC Rule 15c3-3(m), And Ex-Dividend Schedule
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| Notice To Members 95-25 | SEC Approves NASD And Options Exchanges' Proposals Regarding Information Storage
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| Notice To Members 95-24 | SEC Approves Recordkeeping And Reporting Requirements For Trading Systems Operated By Broker/Dealers
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| Notice To Members 95-23 | SEC Adopts Amendments To Rule 15c2-12, Municipal Securities Disclosure
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| Notice To Members 95-22 | SEC Approves Amendments To Article III, Section 44 Of The NASD Rules Of Fair Practice About Filing Requirements For Modified Guaranteed Annuity And Life Insurance Contracts
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| Notice To Members 95-21 | Request For Comments On Proposed Suitability Obligations To Institutional Customers Interpretation;
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| Notice To Members 95-20 | NASD Solicits Member Comment On Proposals For Comprehensive Improvements To The Regulation And Operation Of The Nasdaq Stock Market;
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| Notice To Members 95-13 | SEC Approves Amendments Relating To Continuing-Education Requirements
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| Notice To Members 95-19 | Fixed Income Pricing System Additions, Changes, And Deletions As Of February 28, 1995
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| Notice To Members 95-18 | Nasdaq National Market Additions, Changes, And Deletions As Of February 23, 1995
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| Notice To Members 95-17 | Good Friday: Trade Date-Settlement Date Schedule
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| Notice To Members 95-16 | Predispute Arbitration Clauses In Customer Agreements
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| Notice To Members 95-15 | Treasury Requests Comments On Large Position Recordkeeping And Reporting For Government Securities;
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| Notice To Members 95-14 | Revised General Securities Registered Representative Examination (Series 7);
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| Continuing Education Program Update: Regulatory Element Questions And Answers | Continuing Education Program Update: Regulatory Element Questions And Answers
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| Notice To Members 95-9 | NASD Qualification Examinations Revisions;
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