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.
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| Notice To Members 92-33 | Providing of Proxy Voting Advice to Customers
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| Notice To Members 92-32 | Request for Comments on Proposed Amendment to the Rules of Fair Practice Relating to the Respective Obligations and Supervisory Responsibilities of Introducing and Clearing Firms; Last Date for Comments: July 22, 1992
Last Date for Comments: July 22, 1992
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| Notice To Members 92-31 | SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons
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| Notice To Members 92-30 | Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992
Last Voting Date: July 22, 1992
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| Notice To Members 92-29 | Nasdaq National Market Additions, Changes, and Deletions as of April 21, 1992
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| Notice To Members 92-28 | SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters
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| Notice To Members 92-27 | Advertising of Collateralized Mortgage Obligations by NASD Members
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| Notice To Members 92-26 | SEC Approval of Trade Reporting for Regular Nasdaq Securities
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| Notice To Members 92-25 | Proposed Amendment to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption for Negative-Response Letters Used to Facilitate Certain Bulk Exchanges of Money Market Mutual Funds
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| Notice To Members 92-24 | Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992
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| Notice To Members 92-23 | Memorial Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-22 | Appointment of SIPC Trustees for Four Firms
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| Notice To Members 92-21 | SOES Tier Levels to Change for 431 Issues on May 4, 1992
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| Notice To Members 92-20 | Sale of Direct Participation Program Debt Instruments by Limited Principals and Representatives; SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws
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| Notice To Members 92-19 | Retention of Jurisdiction; SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice
SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice
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| Notice To Members 92-18 | SEC Approval of Amendments to the Definition of the Term "Branch Office" in Article III, Section 27 of the Rules of Fair Practice
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| Notice To Members 92-17 | Adoption of Amendments to Interpretation of the Board of Governors — Forwarding Of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice Re: Forwarding Proxy Material on the Request of Stockholders
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| Notice To Members 92-16 | NASD Policies and Procedures for Markups/Markdowns in Equity Securities
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| Notice To Members 92-15 | Nasdaq National Market Additions, Changes, and Deletions as of February 24, 1992
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| Notice To Members 92-14 | Good Friday — Trade Date-Settlement Date Schedule
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| Notice To Members 92-9 | NASD/NYSE Special Alert Regarding Previously Cancelled Securities
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| Notice To Members 92-13 | Nasdaq National Market Additions, Changes, and Deletions as of January 27, 1992
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| Notice To Members 92-12 | SIPC Trustees Appointed for Two Securities Firms
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| Notice To Members 92-11 | Fees and Charges for Services
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| Notice To Members 92-10 | Approval of Amendments to Article III, Section 3 of the NASD By-Laws Regarding NASD Member Requirement to Appoint One Executive Representative Responsible For Voting and Acting for the Member in All Affairs Relating to the NASD
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| Notice To Members 92-8 | Proposed Amendment to Rules of Fair Practice, Article III, New Section 46: Short-Sale Rule for Nasdaq/NMS Securities and New Section 47: Primary Nasdaq Market Makers; Last Voting Date: March 13, 1992
Last Voting Date: March 13, 1992
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| For Your Information - January 1992 | For Your Information
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| Notice To Members 92-7 | Nasdaq National Market Additions, Changes, and Deletions as of December 19, 1991
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| Notice To Members 92-6 | Presidents' Day — Trade Date-Settlement Date Schedule
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| Notice To Members 92-5 | Annual Check List of NASD Notices to Members
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| Notice To Members 92-4 | Revision to the Investment Company Products/Variable Contracts Limited Principal Examination (Series 26)
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| Notice To Members 92-3 | 1992 Renewal Rosters and Final Adjusted Invoices
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| Notice To Members 92-2 | SEC Approval of Amendments to Schedule C of the NASD By-Laws Relating to Applications for Membership
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| Notice To Members 92-1 | Proposed Amendment to Article VI, Section 3 of the By-Laws to Extend the NASD's Summary Suspension Procedures to Situations Where Members or Associated Persons Fail to Comply with Arbitration Awards; Last Voting Date: February 18, 1992
Last Voting Date: February 18, 1992
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| Notice To Members 91-85 | Nasdaq National Market Additions, Changes, and Deletions as of November 25, 1991
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| Notice To Members 91-84 | Trade Date-Settlement Date Schedule for 1992
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| Notice To Members 91-83 | NASD 1992 Holiday Schedule
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| Notice To Members 91-82 | Proposed Revision of NASD Manual
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| Notice To Members 91-81 | Reporting Information on Form BD
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| Notice To Members 91-80 | Request for Comments on Proposed Amendments to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption from the Rule for Negative Comment Letters Used in Certain Bulk Exchanges of Money Market Mutual Funds; Last Date For Comments
Last Date For Comments
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