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 |
|---|---|---|
| Notice To Members 90-32 | Revised Forms U-4 and U-5 Go Into Effect
|
|
| Notice To Members 90-31 | Electronic Filing of Forms LJ-5 and Amendments to Form U-4
|
|
| Notice To Members 90-30 | New NASDAQ Listing and Maintenance Standards
|
|
| Notice To Members 90-29 | SEC Approval of New Schedule I to the NASD By-Laws Establishing and Setting Rules for The PORTAL<sup>SM</sup> Market for Primary Distributions and Secondary Trading of Private Placements
|
|
| Notice To Members 90-28 | Automated Confirmation Transaction (ACT) Service Fees
|
|
| Notice To Members 90-27 | Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Re: Disclosure of Deferred Sales Charges on Confirmations of the Sale of Investment Company Shares; Last Voting Date: June 5, 1990
Last Voting Date: June 5, 1990
|
|
| Notice To Members 90-26 | Proposed Amendments to Subsections (b)(4) and (d) of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation of Asset-Based Sales Charges by the NASD; Last Date for Comment: May 31, 1990
Last Date for Comment: May 31, 1990
|
|
| Notice To Members 90-25 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of March 15, 1990
|
|
| Notice To Members 90-24 | Good Friday: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 90-23 | Administrative Conversion of the Series 7 General Securities Representative Examination to PLATO* Computer-Based Delivery
|
|
| Notice To Members 90-22 | SOES Tier Levels to Change for 416 Issues on April 16, 1990
|
|
| Notice To Members 90-21 | Collection of Fines and Costs in Disciplinary Proceedings
|
|
| Notice To Members 90-20 | Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of The NASD By-Laws, and Article IV, Section 5 of the NASD Rules of Fair Practice; Last Date for Comment: May 5, 1990
Last Date for Comment: May 5, 1990
|
|
| Notice To Members 90-19 | Proposed Amendments to the NASD By-Laws and Code of Procedure to Implement The Recommendations of the Special Committee on NASD Structure and Governance; Last Date for Comment: April 30, 1990
Last Date for Comment: April 30, 1990
|
|
| Notice To Members 90-18 | SEC Staff Interpretations of Rule 15c2-6
|
|
| Notice To Members 90-17 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of February 9, 1990
|
|
| Notice To Members 90-16 | New Interim Criteria for Initial Inclusion in the NASDAQ System
|
|
| Notice To Members 90-15 | Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990
|
|
| Notice To Members 90-14 | Proposed Amendments to Article III, Section 35 of NASD's Rules of Fair Parctice Re: Communications With the Public; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-13 | Proposed Technical Amendment to Pending Prompt Receipt Rule; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-12 | Proposed Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-11 | Proposed Amendment Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-10 | Proposed Corporate Financing Rule; Last Voting Date: April 5, 1990
Last Voting Date: April 5, 1990
|
|
| Notice To Members 90-9 | Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Begins March 1, 1990
|
|
| Notice To Members 90-8 | NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of January 11, 1990
|
|
| Notice To Members 90-7 | Presidents' Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 90-6 | Annual Check List of NASD Notices to Members
|
|
| Notice To Members 90-5 | NASDAQ National Market Additions, Changes, and Deletions As of December 12, 1989
|
|
| Notice To Members 90-4 | Trade Date-Settlement Date Schedule for 1990
|
|
| Notice To Members 90-3 | Registration Renewal Rosters and Final Adjusted Invoices
|
|
| Notice To Members 90-2 | Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons
|
|
| Notice To Members 90-1 | Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration
|
|
| Notice To Members 89-81 | NASDAQ National Market Additions, Changes, and Deletions As of November 13, 1989
|
|
| Notice To Members 89-80 | Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
|
|
| Notice To Members 89-79 | NASD 1990 Holiday Schedule
|
|
| Notice To Members 89-78 | Availability of Two New NASD Categories of Registration and Qualification Examinations
|
|
| Notice To Members 89-77 | Proposed Amendments to Article III, Section 12 of the NASD Rules of Fair Practice Re: Disclosure on Confirmations When Investment Companies Impose a Deferred Sales Charge on Redemption; Last Date For Comment: January 2, 1990
Last Date For Comment: January 2, 1990
|
|
| Notice To Members 89-76 | Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Set for First Quarter 1990
|
|
| For Your Information - November 1989 | For Your Information (November)
|
|
| Notice To Members 89-75 | NASDAQ National Market Additions, Changes, and Deletions as of October 12, 1989
|