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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 84-27
SEC Request For Comments on NASDAQ Options Proposal (Comment Period Ends on June 15, 1984)
Notice To Members 84-26
Request for Comment on Proposed Criteria for NASDAQ NMS Designation
Notice To Members 84-25
Quarterly Checklist of Notices to Members
Notice To Members 84-24
Memorial Day Trade Date — Settlement Date Schedule
Notice To Members 84-23
National Market System Grows to 935 Securities With 50 Additions on May 15
Notice To Members 84-22
10 Securities Mandated to Join NMS on May 8, 1984
Notice To Members 84-21
Adoption of a New Rule of Fair Practice and Other Amendments Regulating Activities of Members Experiencing Financial or Operational Difficulties
Notice To Members 84-20
National Market System Grows to 881 Securities With 50 Additions on April 17
Notice To Members 84-19
MV Securities, Inc. 11 Broadway, 17th Floor New York, New York
Notice To Members 84-18
Holiday Settlement Schedule
Notice To Members 84-17
Amendment to Association's Rules of Fair Practice
Notice To Members 84-15
National Market System Grows to 834 Securities With 50 Additions on March 20
Notice To Members 84-14
Southeast Securities of Florida, Inc. Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
Notice To Members 84-13
PLATO Learning Center Shutdown March 3–11; Extensions of Qualification Examination Expiration Dates
Extensions of Qualification Examination Expiration Dates
Notice To Members 84-12
Quarterly Checklist of Notices to Members
Notice To Members 84-9
California Municipal Investors, Inc. 6380 Wilshire Boulevard, Ste. 1600 Los Angeles, California 90048
Notice To Members 84-8
Southeast Securities of Florida Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
Notice To Members 84-11
Gattini & Co. 74 Trinity Place New York, New York
Notice To Members 84-10
Holiday Settlement Schedule — February, 1984
Notice To Members 84-7
SEC Staff Interpretations of Rule 15c2-4
Notice To Members 84-6
Temporary Regulations Under the Interest and Dividend Tax Compliance Act of 1983; Backup Withholding
Backup Withholding
Notice To Members 84-5
Jay W. Kaufmann & Co. Ill Broadway New York, New York
Notice To Members 84-3
Temporary Relief from Certain Provisions of Rules 15e3-4 and 15c3-3 Dealing with Registered Municipal Securities is Extended until March 31, 1984, by SEC Staff
Notice To Members 84-2
12 Securities Mandated Into NMS on February 7, 1984
Notice To Members 84-1
National Market System to Expand to 728 Issues January 17; and Year-End NASDAQ Market Highlights
and Year-End NASDAQ Market Highlights
Notice To Members 83-74
Proposed Amendments to Article III, Section 19 of the Rules of Fair Practice, "Customers Securities or Funds"
Notice To Members 83-73
SEC Adopts Rule 15c2-2 Governing Binding Arbitration Clauses in Customer Agreements
Notice To Members 83-72
Request for Comments on Proposed Amendment to Schedule C to the By-Laws
Notice To Members 83-71
Hanover Square Securities Group Inc. 5 Hanover Square New York, New York 10004
Notice To Members 83-70
Automatic Money Market Fund Redemptions
Notice To Members 83-69
Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit investment Trust Securities
Notice To Members 83-67
Proposed Amendments to the Corporate Financing Rule Proposed Amendments to Section 26 of the Rules of Fair Practice
Notice To Members 83-66
51 Securities To Voluntarily Join NMS on Tuesday, December 20
Notice To Members 83-65
Due Diligence and Certification Requirements With Respect To Taxpayer Identification Numbers and Backup Withholding
Notice To Members 83-64
Implementation of the Revised Direct Participation Programs Principal Examination (Series 39)
Notice To Members 83-63
1984 Schedule of Holidays
Notice To Members 83-62
American Telephone and Telegraph Company (AT & T) Divestiture
Notice To Members 83-61
Holiday Schedule for Remainder of 1983
Notice To Members 83-60
National Market System to Expand to 635 Issues November 22
Notice To Members 83-59
Pilot Ends — Expansion of ITS/CAES Linkage — Open to All Rule 19c-3 Securities — ATT Divestiture
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