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 84-40 | Compensation Arrangements with respect to Sale of Mutual Fund Shares
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| Notice To Members 84-39 | Quarterly Checklist of Notices to Members
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| Notice To Members 84-37 | Interpretation of Venture Capital Restrictions
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| Notice To Members 84-36 | Request for Comments on Possible Amendments to Venture Capital Restrictions
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| Notice To Members 84-38 | Five Securities Mandated to Join NMS August 7, 1984
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| Notice To Members 84-35 | NMS Securities to Surpass 1,000 Mark on July 10, 1984
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| Notice To Members 84-34 | Implementation of the NASAA/CRD Temporary Agent Transfer Program (TAT) Via the Central Registration Depository — Need to File Broker-Dealer Undertaking
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| Notice To Members 84-33 | Independence Day Trade Date — Settlement Date Schedule
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| Notice To Members 84-32 | June S. Jones Co. 225 S. W. Broadway Portland, Oregon
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| Notice To Members 84-31 | First Interwest Securities Corp. 7800 E. Union Avenue, Suite 900 Denver, Colorado 80237
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| Notice To Members 84-30 | Monthly Statistical Report Subscription Service
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| Notice To Members 84-29 | 48 Securities Mandated to Join NMS on June 19, 1984
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| Notice To Members 84-28 | Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs
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| Notice To Members 84-27 | SEC Request For Comments on NASDAQ Options Proposal (Comment Period Ends on June 15, 1984)
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| Notice To Members 84-26 | Request for Comment on Proposed Criteria for NASDAQ NMS Designation
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| Notice To Members 84-25 | Quarterly Checklist of Notices to Members
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| Notice To Members 84-24 | Memorial Day Trade Date — Settlement Date Schedule
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| Notice To Members 84-23 | National Market System Grows to 935 Securities With 50 Additions on May 15
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| Notice To Members 84-22 | 10 Securities Mandated to Join NMS on May 8, 1984
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| Notice To Members 84-21 | Adoption of a New Rule of Fair Practice and Other Amendments Regulating Activities of Members Experiencing Financial or Operational Difficulties
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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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