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 86-39 | Request for Comments on Proposed Amendment to the Code of Procedure to Grant Discretion to the NASD to Hold Hearings in Eligibility Proceedings
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| Notice To Members 86-38 | Membership Vote on Proposed Amendments to Article III, Section 28 of the NASD Rules of Fair Practice and Article VII, Section 8 of the NASD By-Laws
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| Notice To Members 86-37 | Memorial Day Trade Date-Settlement Date Schedule
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| Notice To Members 86-36 | Firm Agreements With Customers Not To Testify In NASD Proceedings
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| Notice To Members 86-35 | Adoption of Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials"
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| Notice To Members 86-34 | NASDAQ National Market System Grows to 2,363 Securities With 28 Voluntary Additions on May 20, 1986
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| Notice To Members 86-33 | Request for Comments on a Proposed Amendment to the Corporate Financing Interpretation Concerning Sales Incentives for Real Estate Investment Trusts and Corporate Debt and Equity Offerings
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| Notice To Members 86-32 | NASDAQ National Market System Grows to 2,342 Securities With 36 Voluntary Additions on May 6, 1986, and 5 Mandatory Inclusions on May 13, 1986
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| Notice To Members 86-31 | Request for Comments on a Proposed Amendment to Article III, Section 19(f) of the NASD Rules of Fair Practice
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| Notice To Members 86-30 | Quarterly Checklist of Notices to Members
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| Notice To Members 86-29 | Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Relating to Short Sales
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| Notice To Members 86-28 | Request for Comments on Proposed Amendments to Schedule E of the NASD By-Laws
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| Notice To Members 86-27 | Amendments to Corporate Financing Filing Requirements Effective Immediately
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| Notice To Members 86-26 | Request for Comments on Proposed Exemption From Free-Riding Interpretation for Conversion of Savings and Loan Associations
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| Notice To Members 86-25 | NASDAQ National Market System Grows to 2,307 Securities With 37 Voluntary Additions on April 15, 1986
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| Notice To Members 86-24 | Kobrin Securities Inc. 415 Route 18 East East Brunswick, New Jersey 08816
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| Notice To Members 86-23 | Request for Comments on Proposed Amendments to the NASD By-Laws and Code of Procedure to Accommodate Extended Hearings
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| Notice To Members 86-22 | NASDAQ National Market System Grows to 2,280 Securities With 11 Voluntary Additions on April 1, 1986
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| Notice To Members 86-21 | Holiday Settlement Schedule
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| Notice To Members 86-20 | Request for Comment on Proposed Rule Requiring Supervisory Procedures on Limit Orders
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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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