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 84-20 | National Market System Grows to 881 Securities With 50 Additions on April 17
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| Notice To Members 84-19 | MV Securities, Inc. 11 Broadway, 17th Floor New York, New York
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| Notice To Members 84-18 | Holiday Settlement Schedule
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| Notice To Members 84-17 | Amendment to Association's Rules of Fair Practice
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| Notice To Members 84-15 | National Market System Grows to 834 Securities With 50 Additions on March 20
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| Notice To Members 84-14 | Southeast Securities of Florida, Inc. Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
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| Notice To Members 84-13 | PLATO Learning Center Shutdown March 3–11; Extensions of Qualification Examination Expiration Dates
Extensions of Qualification Examination Expiration Dates
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| Notice To Members 84-12 | Quarterly Checklist of Notices to Members
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| Notice To Members 84-9 | California Municipal Investors, Inc. 6380 Wilshire Boulevard, Ste. 1600 Los Angeles, California 90048
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| Notice To Members 84-8 | Southeast Securities of Florida Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
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| Notice To Members 84-11 | Gattini & Co. 74 Trinity Place New York, New York
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| Notice To Members 84-10 | Holiday Settlement Schedule — February, 1984
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| Notice To Members 84-7 | SEC Staff Interpretations of Rule 15c2-4
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| Notice To Members 84-6 | Temporary Regulations Under the Interest and Dividend Tax Compliance Act of 1983; Backup Withholding
Backup Withholding
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| Notice To Members 84-5 | Jay W. Kaufmann & Co. Ill Broadway New York, New York
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| 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
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| Notice To Members 84-2 | 12 Securities Mandated Into NMS on February 7, 1984
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| 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
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| Notice To Members 83-74 | Proposed Amendments to Article III, Section 19 of the Rules of Fair Practice, "Customers Securities or Funds"
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| Notice To Members 83-73 | SEC Adopts Rule 15c2-2 Governing Binding Arbitration Clauses in Customer Agreements
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| Notice To Members 83-72 | Request for Comments on Proposed Amendment to Schedule C to the By-Laws
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| Notice To Members 83-71 | Hanover Square Securities Group Inc. 5 Hanover Square New York, New York 10004
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| Notice To Members 83-70 | Automatic Money Market Fund Redemptions
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| 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
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| Notice To Members 83-67 | Proposed Amendments to the Corporate Financing Rule Proposed Amendments to Section 26 of the Rules of Fair Practice
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| Notice To Members 83-66 | 51 Securities To Voluntarily Join NMS on Tuesday, December 20
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| Notice To Members 83-65 | Due Diligence and Certification Requirements With Respect To Taxpayer Identification Numbers and Backup Withholding
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| Notice To Members 83-64 | Implementation of the Revised Direct Participation Programs Principal Examination (Series 39)
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| Notice To Members 83-63 | 1984 Schedule of Holidays
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| Notice To Members 83-62 | American Telephone and Telegraph Company (AT & T) Divestiture
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| Notice To Members 83-61 | Holiday Schedule for Remainder of 1983
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| Notice To Members 83-60 | National Market System to Expand to 635 Issues November 22
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| 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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| Notice To Members 83-58 | SEC Rule Change Relating to Foreign Securities in NASDAQ
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| Notice To Members 83-57 | Trade DateSettlement Date Schedule for Election Day and Veterans Day
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| Notice To Members 83-56 | Fidelity Bonds Definition of "Employee"; Expiration of Grace Period
Expiration of Grace Period
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| Notice To Members 83-55 | Amendments to Association By-Laws
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| Notice To Members 83-54 | 16 Securities Mandated to Join NMS on November 8, 1983
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| Notice To Members 83-53 | Quarterly Checklist of Notices to Members
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| Notice To Members 83-52 | Group Surety Bond Buying Program
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