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 94-16 | NASD Reminds Members Of Mutual Fund Sales Practice Obligations
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| Notice To Members 94-15 | SEC Issues Alert Regarding Stolen Stock Certificates
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| Notice To Members 94-14 | NASD Clarifies Compensation Disclosure Requirements For Mutual Funds In Article III, Section 26 Of The NASD Rules Of Fair Practice
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| Notice To Members 94-13 | SEC Approves Sales-Charge Disclosure Exemption For Money Market Mutual Funds
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| Notice To Members 94-9 | SEC Approves New NASD Rule Governing The Pricing Of Open Orders
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| Notice To Members 94-8 | SEC Approves NASD Rules Governing Access To And Use Of The OTC Bulletin Board Service
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| Notice To Members 94-7 | SEC Approves New NASD Rule Relating To The Obligations And Responsibilities Of Introducing And Clearing Firms
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| Notice To Members 94-6 | Solicitation Of Member Comment On Proposed Amendments To The Foreign Associate Provisions Of Schedule C To The NASD By-Laws;
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| Notice To Members 94-12 | Nasdaq National Market Additions, Changes, And Deletions As Of January 27, 1994
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| Notice To Members 94-11 | Special Registration Review Surcharge Takes Effect March 1, 1994
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| Notice To Members 94-10 | Members Urged To Ensure Timely, Accurate, And Complete Trading Data Submissions
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| For Your Information - January 1994 | For Your Information
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| Notice To Members 94-4 | Presidents' Day: Trade Date-Settlement Date Schedule
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| Notice To Members 94-3 | Annual Check List of NASD Notices to Members
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| Notice To Members 94-2 | 1993-94 Renewal Rosters and Final Adjusted Invoices
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| Notice To Members 94-1 | SEC Approves New Small Order Execution System Rules
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| Notice To Members 93-91 | Nasdaq National Market<sup>®</sup> Additions, Changes, And Deletions as of November 26, 1993
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| Notice To Members 93-90 | Trade Date-Settlement Date Schedule for 1994
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| Notice To Members 93-89 | NASD 1994 Holiday Schedule
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| Notice To Members 93-88 | SEC Approves Amendment Clarifying The Application of the NASD's Corporate Financing Rule to Rule 415 Shelf Offerings and Certain Canadian Securities;
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| Notice To Members 93-87 | NASD Provides Guidance for Reinvestment of Maturing Certificates of Deposit in Mutual Funds
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| Notice To Members 93-86 | SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Resolution of Fails Resulting From Account Transfers;
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| Notice To Members 93-85 | SEC Approves Amendments to CMO Advertising Guidelines:
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| Notice To Members 93-84 | SEC Approves Amendments Prohibiting Certain Anti-Dilution Terms in the Warrant Agreements of Underwriters and Related Persons;
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| Notice To Members 93-83 | SEC Approves New Trade Reporting Requirements for Pre-Opening Transactions And Convertible Debt Transactions
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| Notice To Members 93-82 | Mail Vote—NASD Solicits Member Vote on Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
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| Notice To Members 93-81 | NASD Reminds Members of the Requirement for Fairness Of Agency Commissions And Applicability of the 5% Policy
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| Notice To Members 93-80 | Nasdaq National Market(r) Additions, Changes, And Deletions as of October 25, 1993
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| Notice To Members 93-79 | Christmas Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-78 | SEC Approves Extension Of MSRB Continuing Disclosure Information Pilot System
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| Notice To Members 93-77 | SEC Adopts Rule 15c6-1; Establishes Three-Business-Day Settlement for Securities Transactions
Establishes Three-Business-Day Settlement for Securities Transactions
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| Notice To Members 93-76 | Mail Vote—NASD Solicits Member Vote On Filing Requirements For Use of Mutual Fund Rankings and Elimination Of Sunset Provisions in Prefiling Requirements For CMO Advertisements;
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| Notice To Members 93-75 | Nasdaq National Market(r) Additions, Changes, And Deletions as of September 24, 1993
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| Notice To Members 93-74 | Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedule
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| Notice To Members 93-73 | Members' Obligations to Customers When Selling Collateralized Mortgage Obligations (CMOs)
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| Notice To Members 93-72 | SEC Approves Major Revisions to Rule 17a-11
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| Notice To Members 93-71 | SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking
Seeks Comments for Proposed Rulemaking
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| Notice To Members 93-70 | SEC Amends Rule 17a-5 Giving Additional Responsibilities to Designated Examining Authorities
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| Notice To Members 93-69 | Broker/Dealer and Agent Renewals for 1993-94
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| Notice To Members 93-68 | Quotation and Trade-Reporting Rules for Members Dealing in High-Yield Bonds
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