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 |
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| Notice To Members 87-12 | Adoption of Amendment to Schedule G of the NASD By-Laws
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| Notice To Members 87-11 | NASDAQ National Market System Grows to 2,788 Securities With 17 Voluntary Additions on March 3, 1987
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| Notice To Members 87-10 | Proposed Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
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| Notice To Members 87-9 | Proposed Amendments to Article XIV of the NASD By-Laws and Article V, Sections 1 and 2 of the NASD Rules of Fair Practice Concerning Disciplinary Sanctions
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| Notice To Members 87-8 | South African Sanctions Act Regulations
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| Notice To Members 87-7 | NASDAQ National Market System Grows to 2,775 Securities With 17 Voluntary Additions on February 17, 1987
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| Notice To Members 87-6 | Request for Comments on Proposed Amendments to the NASD's Rules of Practice and Procedure For the Small Order Execution System (SOES)
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| Notice To Members 87-5 | NASDAQ National Market System Grows to 2,754 Securities With 24 Voluntary Additions on February 3, 1987
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| Notice To Members 87-4 | Presidents' Day: Trade Date-Settlement Date Schedule
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| Notice To Members 87-3 | NASDAQ National Market System Grows to 2,729 Securities With 17 Voluntary Additions on January 20, 1987
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| Notice To Members 87-2 | Adoption of Amendments to Article III, Section 28 of the NASD Rules of Fair Practice Regarding Securities Accounts of Associated Persons at Non-NASD Members
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| Notice To Members 87-1 | Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-87 | Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-88 | Effect of the Tax Reform Act of 1986 on NASD Qualifications Examinations
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| Notice To Members 86-86 | NASDAQ National Market System Grows to 2,709 Securities With 26 Voluntary Additions on December 16, 1986
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| Notice To Members 86-85 | Request for Comments on Proposed Amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws
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| Notice To Members 86-83 | Proposed New NASD Rule of Fair Practice Prohibiting Members From Effecting Securities Transactions During Trading Halts
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| Notice To Members 86-84 | NASDAQ National Market System Grows to 2,687 Securities With 30 Voluntary Additions on December 2, 1986
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| Notice To Members 86-82 | 1987 Schedule of Holidays
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| Notice To Members 86-81 | Amendments to Appendix F Regarding Freely Tradable Partnership Units Effective Immediately
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| Notice To Members 86-80 | Proposed Changes to the Financial Recordkeeping and Reporting of Currency and Foreign Transactions
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| Notice To Members 86-79 | Quarterly Checklist of Notices to Members
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| Notice To Members 86-78 | NASDAQ National Market System Grows to 2,658 Securities With 21 Voluntary Additions on November 18, 1986
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| Notice To Members 86-77 | John Franklin & Associates 1975 Hempstead Turnpike East Meadow, New York 11554
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| Notice To Members 86-76 | South African Sanctions Act
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| Notice To Members 86-75 | NASDAQ National Market System Grows to 2,638 Securities With 25 Voluntary Additions on November 4, 1986, and Eight Mandatory Inclusions on November 11, 1986
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| Notice To Members 86-74 | Proposed Amendments to Article III, Section 19(f) and Section 33(d) of the NASD Rules of Fair Practice and Article X, Section 6 of the NASD By-Laws
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| Notice To Members 86-73 | Effectiveness of Exemption from NASD Board of Governors' Free-Riding Interpretation for Conversions of Savings and Loan Associations and Certain Other Organizations
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| Notice To Members 86-72 | Norbay Securities, Inc. 36-35 Bell Boulevard Bayside, New York 11361
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| Notice To Members 86-71 | Holiday Settlement Schedule - November 1986
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| Notice To Members 86-70 | NASDAQ National Market System Grows to 2,602 Securities With 12 Voluntary Additions on October 21, 1986
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| Notice To Members 86-69 | Amendments to NASD Rules on Short Sales Become Effective October 15, 1986
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| Notice To Members 86-68 | Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Direct Participation Programs
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| Notice To Members 86-67 | NASDAQ National Market System Grows to 2,580 Securities With 23 Voluntary Additions on October 7, 1986
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| Notice To Members 86-66 | Due Diligence Expense Reimbursements in Connection with Direct Participation Programs
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| Notice To Members 86-65 | Compliance with the NASD Rules of Fair Practice in the Employment and Supervision of Off-Site Personnel
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| Notice To Members 86-64 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-63 | NASD Operations Center Opens in Roekville, Maryland; New Addresses and Telephone Numbers
New Addresses and Telephone Numbers
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| Notice To Members 86-62 | NASDAQ National Market System Grows to 2,569 Securities With 27 Voluntary Additions on September 16, 1986
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| Notice To Members 86-61 | Proposed New Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions
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