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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 83-51
Columbus Day: Trade Date—Settlement Date Schedule
Notice To Members 83-50
50 Securities Scheduled to Join NMS on October 18
Notice To Members 83-49
Request for Comments on Proposed Amendment to Appendix F Concerning Associate General Partners of Direct Participation Programs
Notice To Members 83-48
Proposed New Rule of Fair Practice Relating To Permission For Members to Carry Customer Accounts
Notice To Members 83-47
Proposed New Rule of Fair Practice to Regulate the Activities of Members Experiencing Financial and/or Operational Difficulties
Notice To Members 83-46
Labor Day: Trade Date—Settlement Date Schedule
Notice To Members 83-45
Adoption of Amendments to Schedule E on Self-Underwriting
Notice To Members 83-44
Change of Policy on Overallotment Options
Notice To Members 83-43
Rescission of Venture Capital Policy and Adoption of New Requirement
Notice To Members 83-42
100 Securities Scheduled to Join NMS in August and September
Notice To Members 83-41
SEC Staff Issues No-Action Letter Providing Temporary Relief from Certain Provisions of Rules 15c3-1 and 15c3-3 Dealing with Municipal Securities
Notice To Members 83-40
Quarterly Checklist of Notices to Members
Notice To Members 83-39
Real-Time Transaction Reporting in Additional 100 NASDAQ NMS Securities Effective February 8, 1983
Notice To Members 83-38
SEC Adopts Amendments to Rule 10b-10; Confirmation Rule
Confirmation Rule
Notice To Members 83-36
Subscriptions to Monthly Statistical Reports of NASDAQ Issues
Notice To Members 83-37
44 Securities Scheduled to Join NMS on August 9, 1983
Notice To Members 83-35
Adoption of Section 9 of Article III, Schedule A of the Association's By-Laws; Fee on Cleared Transactions
Fee on Cleared Transactions
Notice To Members 83-34
Western Pacific Securities, Inc. 1880 Century Park East Los Angeles, California
Notice To Members 83-33
Compliance With State Registration Requirements
Notice To Members 83-32
50 Securities Scheduled to Join NMS on July 19
Notice To Members 83-31
Adoption of Revised and Simplified Regulation T of the Federal Reserve Board
Notice To Members 83-30
Independence Day Trade Date—Settlement Date Schedule
Notice To Members 83-29
Gibralco, Inc. 1321 Seventh Street Santa Monica, California
Notice To Members 83-28
Additional Securities Voluntarily Added Into National Market System
Notice To Members 83-27
MBD Investors, Inc. RD#1 Box 60 AA Enon Valley, Pennsylvania 16120
Notice To Members 83-26
Adoption of Amendments to Interpretation on Free-Riding and Withholding
Notice To Members 83-25
Request for Comments on Amendment to Corporate Financing Filing Requirements
Notice To Members 83-24
Request for Vote on Proposed Corporate Financing Rule
Notice To Members 83-23
Memorial Day Trade Date — Settlement Date Schedule
Notice To Members 83-22
Real-Time Transaction Reporting in Additional 57 NASDAQ NMS Securities Effective May 24, 1983
Notice To Members 83-21
Gerald Greenspan
Notice To Members 83-20
Quarterly Checklist of Notices to Members
Notice To Members 83-19
Approval of Revisions to Qualification Requirements of Foreign Issues on NASDAQ
Notice To Members 83-18
43 Additional Securities Are Mandated Into National Market System
Notice To Members 83-17
Amendments to Rules Governing Transactions Executed for Persons Associated with Another Member
Notice To Members 83-15
Underwriting Compensation Received by Members in Public Corporate Offerings
Notice To Members 83-14
Holiday Settlement Schedule
Notice To Members 83-13
Request For Comments on Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs
Notice To Members 83-12
Clarification of NASD Filing Requirements for Offerings Made Pursuant to SEC Rule 415
Notice To Members 83-11
Formation of Federal Task Group on Regulation of Financial Services
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