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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 85-67
TK Securities, Inc. 1450 North Dixie Highway Fort Lauderdale, Florida 33304
Notice To Members 85-66
Quarterly Checklist of Notices to Members
Notice To Members 85-65
R. H. Stewart & Co., Inc. 1975 E. Sunrise Blvd., #817 Fort Lauderdale, Florida 33304
Notice To Members 85-64
NASDAQ National Market System Grows to 2,143 Securities With 31 Voluntary Additions on October 1, 1985
Notice To Members 85-63
Trade Date — Settlement Date Schedule for October and Early November
Notice To Members 85-62
NASDAQ National Market System Grows to 2,118 Securities With 21 Voluntary Additions on September 17, 1985
Notice To Members 85-61
Cross-Lien Agreements with Clearing Entities
Notice To Members 85-60
Collins Securities Corporation 400 Tower Building Fourth & Center Streets Little Rock, Arkansas 72201
Notice To Members 85-59
Effectiveness of Amendment to the Uniform Practice Code to Require Prompt Settlement of Syndicate Accounts
Notice To Members 85-58
Request for Comments on a Proposed New Rule Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
Notice To Members 85-57
NASDAQ National Market System Grows to 2,111 Securities With 24 Voluntary Additions on September 3, 1985
Notice To Members 85-56
Donald E. Sheldon & Co., Inc. One Wall Street New York, New York 10005
Notice To Members 85-55
Labor Day: Trade Date — Settlement Date Schedule
Notice To Members 85-54
Proposed New Rule of Fair Practice Relating to Private Securities Transactions
Notice To Members 85-53
NASDAQ National Market System Grows to 2,091 Securities With 22 Voluntary Additions on August 20, 1985
Notice To Members 85-52
SEC Request for Comment on Issues Relating to the Designation of NASDAQ/NMS Securities
Notice To Members 85-51
Donald E. Sheldon & Co., Inc. One Wall Street New York, New York 10005
Notice To Members 85-50
NASDAQ National Market System Grows to 2,077 Securities With 32 Voluntary Additions on August 6, 1985
Notice To Members 85-49
Request for Comment on Shareholder Voting Rights for NASDAQ National Market System Companies
Notice To Members 85-48
Qualification and Registration Requirements of Schedule C
Notice To Members 85-47
NASDAQ National Market System Grows to 2,057 Securities With 21 Voluntary Additions on July 16, 1985
Notice To Members 85-46
Offshore Shell Bank Licenses Registered in Majuro, Marshall Islands — update
Notice To Members 85-45
NASDAQ National Market System Grows to 2,045 Securities With 40 Voluntary Additions on July 2, 1985
Notice To Members 85-43
Proposed 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")
Notice To Members 85-44
NASDAQ National Market System Grows to 2,012 Securities With 22 Voluntary Additions on June 18, 1985
Notice To Members 85-42
Independence Day Trade Date — Settlement Date Schedule
Notice To Members 85-41
Request for Comments on Amendment Concerning Associated Persons' Accounts with Investment Advisers, Banks, and Other Financial Institutions
Notice To Members 85-40
Implementation of Revised Forms U-4 and U-5
Notice To Members 85-39
NASDAQ National Market System Grows to 1,998 Securities With 23 Voluntary Additions on June 4, 1985
Notice To Members 85-38
Parr Securities Corp., 68 William Street New York, New York 10005
Notice To Members 85-37
Parr Securities Corp., 68 William Street New York, New York 10005
Notice To Members 85-36
NASDAQ National Market System Grows to 1,976 Securities With 42 Voluntary Additions on May 21, 1985
Notice To Members 85-35
Bevill, Bresler & Sehulman Incorporated 301 South Livingston Avenue Livingston, New Jersey 07039
Notice To Members 85-34
Memorial Day Trade Date — Settlement Date Schedule
Notice To Members 85-33
Coastal Securities Corporation 1888 Century Park E., Suite 1606 Los Angeles, California 90067
Notice To Members 85-32
Payment for Order Flow
Notice To Members 85-31
NASDAQ National Market System Grows to 1,940 Securities With 82 Voluntary Additions on May 7, 1985, and Six Mandatory Inclusions on May 14, 1985
Notice To Members 85-30
Securities and Exchange Commission Release Announcing Shareholder Communication Proposals
Notice To Members 85-29
Compensation Received in Connection with Direct Participation Programs
Notice To Members 85-28
Collins Securities Corporation 400 Tower Building Fourth & Center Streets Little Rock, Arkansas
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