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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 84-67
NASDAQ National Market System Grows to 1,185 Securities With 50 Voluntary Additions on December 18, 1984
Notice To Members 84-66
Vantage Securities of Colorado, Inc. 7000 E. Belleview Avenue, #307 Englewood, Colorado
Notice To Members 84-65
Christmas Day–New Year's Day: Trade Date—Settlement Date Schedule
Notice To Members 84-64
Securities and Exchange Commission Interpretation of Application of Rule 15c2-4 to Direct Participation Program Offerings
Notice To Members 84-63
Small Order Execution System (SOES)
Notice To Members 84-62
Effect of the Tax Reform Act of 1984 and Amendments to Various NASD and SEC Rules on NASD Qualification Examinations
Notice To Members 84-61
PLATO Learning Centers to Close Thanksgiving Week, November 19–23, 1984
Notice To Members 84-60
1985 Schedule of Holidays
Notice To Members 84-59
National Market System Grows to 1,142 Securities With 40 Voluntary Additions on November 20, 1984
Notice To Members 84-58
Thanksgiving Day: Trade Date — Settlement Date Schedule
Notice To Members 84-57
Federal Reserve Board Acts to Grant Immediate Margin Status To All NASDAQ/NMS Issues
Notice To Members 84-56
Three Securities Mandated to Join NASDAQ/NMS on November 13, 1984
Notice To Members 84-55
Implementation of NASDAQ Equity Audit Trail
Notice To Members 84-54
Quarterly Checklist of Notices to Members
Notice To Members 84-53
Request for Comments on Proposed Amendment to Appendix F Concerning Suitability Requirements for Freely Tradeable Partnership Units
Notice To Members 84-52
Next NASDAQ/NMS Phase-In Scheduled for October 16
Notice To Members 84-51
Amendments to Code of Arbitration Procedure
Notice To Members 84-50
Trade Date — Settlement Dates for October and Early November
Notice To Members 84-49
32 More Securities to Join NASDAQ/NMS on September 18, 1984
Notice To Members 84-48
New SEC Staff Interpretation Concerning the Treatment of Concessions Receivable and Related Concessions Payable Under the Uniform Net Capital Rule
Notice To Members 84-47
Adoption of Amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice
Notice To Members 84-46
SEC Approval of Revised Rules for Bunching of NASDAQ/NMS Trades
Notice To Members 84-45
Request for Comments on a Proposed New Section to the Uniform Practice Code Concerning Customer Account Transfers
Notice To Members 84-44
Amendments to the Uniform Practice Code Sections 5, 9, 12 and 30
Notice To Members 84-43
NASDAQ Market Open on Election Day, November 6, 1984
Notice To Members 84-42
Labor Day: Trade Date — Settlement Date Schedule
Notice To Members 84-41
40 More Securities to Join NMS on August 14
Notice To Members 84-40
Compensation Arrangements with respect to Sale of Mutual Fund Shares
Notice To Members 84-39
Quarterly Checklist of Notices to Members
Notice To Members 84-37
Interpretation of Venture Capital Restrictions
Notice To Members 84-36
Request for Comments on Possible Amendments to Venture Capital Restrictions
Notice To Members 84-38
Five Securities Mandated to Join NMS August 7, 1984
Notice To Members 84-35
NMS Securities to Surpass 1,000 Mark on July 10, 1984
Notice To Members 84-34
Implementation of the NASAA/CRD Temporary Agent Transfer Program (TAT) Via the Central Registration Depository — Need to File Broker-Dealer Undertaking
Notice To Members 84-33
Independence Day Trade Date — Settlement Date Schedule
Notice To Members 84-32
June S. Jones Co. 225 S. W. Broadway Portland, Oregon
Notice To Members 84-31
First Interwest Securities Corp. 7800 E. Union Avenue, Suite 900 Denver, Colorado 80237
Notice To Members 84-30
Monthly Statistical Report Subscription Service
Notice To Members 84-29
48 Securities Mandated to Join NMS on June 19, 1984
Notice To Members 84-28
Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs
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