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 86-19 | Treasury Department Amends the Currency Transaction Report
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| Notice To Members 86-18 | NASDAQ National Market System Grows to 2,277 Securities With 20 Voluntary Additions on March 18, 1986
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| Notice To Members 86-17 | Availability of New Outline for the Series 7 General Securities Representative Examination; Updating of Margin Questions on Option Principal Examinations
Updating of Margin Questions on Option Principal Examinations
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| Notice To Members 86-16 | Amendments to SEC Rule l0b-10
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| Notice To Members 86-15 | Monthly Reports of Aggregate "Short" Positions
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| Notice To Members 86-14 | NASDAQ National Market System Grows to 2,259 Securities With 14 Voluntary Additions on March 4, 1986
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| Notice To Members 86-13 | Request for Comments on Proposed Amendment to Schedule D of the NASD By-Laws to Authorize Trading Halts in NASDAQ Securities and Listed Securities Traded Over-the-Counter
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| Notice To Members 86-11 | New Application Fee For Statutorily Disqualified Individuals
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| Notice To Members 86-10 | NASDAQ National Market System Grows to 2,246 Securities With 22 Voluntary Additions on February 18, 1986
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| Notice To Members 86-9 | Amendments to Article III of the NASD Rules of Fair Practice
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| Notice To Members 86-8 | Brittenum & Associates, Inc. Lafayette Building 525 Louisiana Little Rock, Arkansas 72201
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| Notice To Members 86-7 | Bartel Securities, Inc. 1 Oxford Valley, Suite 702 Langhorne, Pennsylvania 19047
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| Notice To Members 86-6 | NASDAQ National Market System Grows to 2,237 Securities With 19 Voluntary Additions on February 4, 1986, and 4 Mandatory Inclusions on February 11, 1986
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| Notice To Members 86-5 | Presidents' Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-4 | New NASD Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions
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| Notice To Members 86-3 | NASDAQ National Market System Grows to 2,218 Securities With 16 Voluntary Additions on January 21, 1986
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| Notice To Members 86-2 | Quarterly Checklist of Notices Interested Persons
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| Notice To Members 86-1 | Amendments to Venture Capital Restrictions Effective
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| Notice To Members 85-89 | Adoption of New Rule of Fair Practice Relating to Permission for Members to Alter Their Methods of Operation Under SEC Rule 15c3-3 (the "Customer Protection Rule")
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| Notice To Members 85-88 | NASDAQ National Market System Grows to 2,214 Securities With 29 Voluntary Additions on January 7, 1986
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| Notice To Members 85-87 | Request for Comments on Amendments Concerning Short Sales
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| Notice To Members 85-86 | Request for Further Comments on a Proposed New Rule Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
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| Notice To Members 85-85 | Martin Luther King, Jr.'s Day; Trade Date — Settlement Date Schedule
Trade Date — Settlement Date Schedule
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| Notice To Members 85-84 | New Rule of Fair Practice Relating to Private Securities Transactions
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| Notice To Members 85-83 | NASDAQ National Market System Grows to 2,194 Securities With 16 Voluntary Additions on December 17, 1985
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| Notice To Members 85-82 | Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
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| Notice To Members 85-81 | Request for Comments on Proposed Exemption from Free-Riding Interpretation for Conversions of Savings and Loan Associations
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| Notice To Members 85-80 | Final Rules Regarding the Securities and Exchange Commission's Direct Shareholder Communication Program
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| Notice To Members 85-79 | 1986 Schedule of Holidays
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| Notice To Members 85-78 | NASDAQ National Market System Grows to 2,183 Securities With 23 Voluntary Additions on December 3, 1985
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| Notice To Members 85-77 | NASD Actions in the Area of Short Sale Regulation
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| Notice To Members 85-76 | NASDAQ National Market System Grows to 2,172 Securities With 18 Voluntary Additions on November 19, 1985
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| Notice To Members 85-75 | Amendments to SEC Rule 15c3-3, Customer Protection Rule
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| Notice To Members 85-74 | Thanksgiving Day: Trade Date — Settlement Date Schedule
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| Notice To Members 85-73 | Beacon Securities, Inc. P.O. Box 5969 Hilton Head Island, South Carolina 29938
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| Notice To Members 85-72 | Trade Reporting Rule Changes for NASDAQ Equity Audit Trail — Phase II
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| Notice To Members 85-71 | NASDAQ National Market System Grows to 2,163 Securities With 19 Voluntary Additions on November 5, 1985, and 1 Mandatory Inclusion on November 12, 1985
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| Notice To Members 85-70 | REVISED Trade Date — Settlement Date Schedule for Early November
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| Notice To Members 85-69 | Request for Comments on Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice Concerning Advertising and Sales Literature for Direct Participation Programs
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| Notice To Members 85-68 | NASDAQ National Market System Grows to 2,149 Securities With 14 Voluntary Additions on October 15, 1985
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