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 06-33 | Frequently Asked Questions regarding Electronic Blue Sheet Submissions
Remediation Dates Extended
|
|
| Notice to Members 06-32 | NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available
Comment Period Expires August 15, 2006
The comment period was extended to August 15, 2006. |
|
| Notice to Members 06-31 | NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Comment Period Expires September 15, 2006
The comment period was extended to September 15, 2006. |
|
| Notice to Members 06-29 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
Nomination Deadline: July 17, 2006
This Notice has been revised to reflect the new Chair of the Regional Nominating Committee for the New York Region. |
|
| Notice to Members 06-30 | Amendments to the Fee for Extension of Time Requests under Regulation T and SEC Rule 15c3-3
Effective Date: July 1, 2006
|
|
| Notice to Members 06-28 | SEC Approves New Rule 3210 Applying Short Sale Delivery Requirements to Non-Reporting OTC Equity Securities
Effective Date: July 3, 2006
|
|
| Notice to Members 06-27 | SEC Approves Amendments to Rule 6740 Relating to Submission of SEC Rule 15c2-11 Information to NASD
Effective Date: June 29, 2006
|
|
| Notice to Members 06-26 | Amendments to Margin Rules to Reflect Additional Complex Option Spread Strategies
|
|
| Notice to Members 06-25 | Establishment of Branch Office System Processing Fee and Waiver of Branch Office System Processing Fee and Annual Branch Office Registration Fee For One Branch Office Per Member Per Year
Effective Date: July 3, 2006
This version was updated on 6/5/06. |
|
| Notice to Members 06-24 | NASD Informs Members of Upcoing District Committee and District Nominating Committee Elections
|
|
| Notice to Members 06-23 | NASD Reminds FINOPs of their Obligations under NASD Rule 1022 and Issues Guidance to FINOPS who Work Part-Time, Work Off-Site or Hold Multiple Registrations
|
|
| Notice to Members 06-22 | NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was Inter-Dealer or Dealer-Customer and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller
Comment Period Expires June 15, 2006
|
|
| Notice to Members 06-21 | NASD and NYSE Issue Joint Guidance on Charitable Contributions
|
|
| Notice to Members 06-20 | NASD Implements Changes to the Regulation Filing Applications System
Effective Date: July 3, 2006
|
|
| Notice to Members 06-19 | SEC Approves New Rule 3380, Order Entry and Execution Practices
Effective Date: May 25, 2006
|
|
| Notice to Members 06-18 | SEC Division of Market Regulation Issues Interpretive Guidance Regarding Regulation SHO Close-Out Requirements
Effective Date: May 1, 2006
|
|
| Notice to Members 06-17 | NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules
Compliance Date: July 10, 2006
|
|
| Notice to Members 06-16 | NASD Amends Rule 1013 to Adopt a Standardized Application Form (Form NMA) to be Used by All New Member Applicants
Implementation Date: May 20, 2006
|
|
| Notice to Members 06-15 | SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules
NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface
|
|
| Notice to Members 06-14 | SEC Approves Amendments to the Short Interest Reporting Requirements
Effective Date: July 3, 2006
|
|
| Notice to Members 06-13 | Validation of Electronic Blue Sheet Systems: Intermarket Surveillance Group Requires Validation by March 31, 2006
|
|
| Notice to Members 06-12 | Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006, Effective Date of Uniform Definition: NASD: July 3, 2006
NYSE: September 9, 2005
|
|
| Notice to Members 06-11 | SEC Approves Amendment to NASD Interpretive Material 3013 Regarding Timing of Submission of Report that Evidences Processes to a Member's Board of Directors and Audit Committee
Effective Date: March 17, 2006
|
|
| Notice to Members 06-10 | NASD Revises Sanction Guidelines
Effective Date: March 31, 2006
|
|
| Notice to Members 06-09 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
|
|
| Notice to Members 06-08 | Amendments Relating to the Status of Persons Serving in the Armed Forces of the United States
Effective Dates: IM-1000-2(a) and IM-1000-2(b): November 15, 2005; IM-1000-2(c): March 27, 2006
|
|
| Notice to Members 06-07 | SEC Approves Amendments to Anti-Money Laundering Compliance Program Rule and Adoption of Interpretive Material
Effective Date: March 6, 2006
|
|
| Notice to Members 06-06 | NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Comment Period Expires February 23, 2006; Comment Period extended to March 3, 2006
The comment period was extended to March 3, 2006. |
|
| Notice to Members 06-05 | SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
|
|
| Notice to Members 06-04 | SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance
|
|
| Notice to Members 06-03 | NASD Provides Guidance Regarding New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
Effective Date: January 9, 2006
|
|
| Notice to Members 06-02 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2006
|
|
| Notice to Members 06-01 | SEC Approves Immediate Dissemination of Information on TRACE Transactions
Effective Date: January 9, 2006
|
|
| For Your Information - December 2005 | For Your Information
|
|
| Notice to Members FYI December 2005 | For Your Information
|
|
| Notice to Members 05-85 | SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Effective January 30, 2006
|
|
| Notice to Members 05-83 | NASD Notice of Meeting and Proxy
|
|
| Notice to Members 05-84 | NASD Announces Election Results for the District Committee for District 7
|
|
| Notice to Members 05-82 | SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Effective Date: January 17, 2006
|
|
| Notice to Members 05-81 | 2006 Trade Date — Settlement Date Schedule
This Notice has been updated to reflect the removal of Veterans' Day from the Trade Date - Settlement Date schedule, and to correct the Thanksgiving Reg. T date for the November 24 trade date. |