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 86-80 | Proposed Changes to the Financial Recordkeeping and Reporting of Currency and Foreign Transactions
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| Notice To Members 86-79 | Quarterly Checklist of Notices to Members
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| Notice To Members 86-78 | NASDAQ National Market System Grows to 2,658 Securities With 21 Voluntary Additions on November 18, 1986
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| Notice To Members 86-77 | John Franklin & Associates 1975 Hempstead Turnpike East Meadow, New York 11554
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| Notice To Members 86-76 | South African Sanctions Act
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| Notice To Members 86-75 | NASDAQ National Market System Grows to 2,638 Securities With 25 Voluntary Additions on November 4, 1986, and Eight Mandatory Inclusions on November 11, 1986
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| Notice To Members 86-74 | Proposed Amendments to Article III, Section 19(f) and Section 33(d) of the NASD Rules of Fair Practice and Article X, Section 6 of the NASD By-Laws
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| Notice To Members 86-73 | Effectiveness of Exemption from NASD Board of Governors' Free-Riding Interpretation for Conversions of Savings and Loan Associations and Certain Other Organizations
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| Notice To Members 86-72 | Norbay Securities, Inc. 36-35 Bell Boulevard Bayside, New York 11361
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| Notice To Members 86-71 | Holiday Settlement Schedule - November 1986
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| Notice To Members 86-70 | NASDAQ National Market System Grows to 2,602 Securities With 12 Voluntary Additions on October 21, 1986
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| Notice To Members 86-69 | Amendments to NASD Rules on Short Sales Become Effective October 15, 1986
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| Notice To Members 86-68 | Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Direct Participation Programs
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| Notice To Members 86-67 | NASDAQ National Market System Grows to 2,580 Securities With 23 Voluntary Additions on October 7, 1986
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| Notice To Members 86-66 | Due Diligence Expense Reimbursements in Connection with Direct Participation Programs
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| Notice To Members 86-65 | Compliance with the NASD Rules of Fair Practice in the Employment and Supervision of Off-Site Personnel
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| Notice To Members 86-64 | Columbus Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-63 | NASD Operations Center Opens in Roekville, Maryland; New Addresses and Telephone Numbers
New Addresses and Telephone Numbers
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| Notice To Members 86-62 | NASDAQ National Market System Grows to 2,569 Securities With 27 Voluntary Additions on September 16, 1986
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| Notice To Members 86-61 | Proposed New Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions
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| Notice To Members 86-60 | Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 64, Acceptance and Settlement of COD Orders
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| Notice To Members 86-59 | Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 59, Close-Out Procedure; Buying-in
Buying-in
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| Notice To Members 86-58 | NASDAQ National Market System Grows to 2,550 Securities With 27 Voluntary Additions on September 2, 1986
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| Notice To Members 86-57 | Labor Day: Trade Date-Settlement Date Schedule
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| Notice To Members 86-56 | NASDAQ National Market System Grows to 2,517 Securities With 17 Voluntary Additions on August 19, 1986
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| Notice To Members 86-55 | Request for Comments on Proposed Revisions to Schedule D of the NASD By-Laws
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| Notice To Members 86-54 | Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members
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| Notice To Members 86-53 | Quarterly Checklist of Notices to Members
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| Notice To Members 86-52 | NASDAQ National Market System Grows to 2,507 Securities With 52 Voluntary Additions on August 5, 1986, and 2 Mandatory Inclusions on August 12, 1986
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| Notice To Members 86-51 | Automation of Test Administration for the Financial and Operations Principal Examination
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| Notice To Members 86-50 | Accurate Completion of Form U-4 (Uniform Application for Securities Industry Registration)
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| Notice To Members 86-49 | Request for Comments on Proposed Amendment to Schedule G of the NASD By-Laws
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| Notice To Members 86-48 | NASDAQ National Market System Grows to 2,457 Securities With 33 Voluntary Additions on July 15, 1986
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| Notice To Members 86-47 | Cusack, Light & Company, Inc. 101 Old Short Hills Road West Orange, New Jersey 07052
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| Notice To Members 86-46 | Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials"
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| Notice To Members 86-45 | NASDAQ National Market System Grows to 2,420 Securities With 18 Voluntary Additions on July 1, 1986
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| Notice To Members 86-43 | NASDAQ National Market System Grows to 2,398 Securities With 10 Voluntary Additions on June 17, 1986
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| Notice To Members 86-42 | NASDAQ National Market System Grows to 2,385 Securities With 25 Voluntary Additions on June 3, 1986
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| Notice To Members 86-41 | Presentations of Yield Quotations for Investment Company Shares in Communications With the Public
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| Notice To Members 86-40 | Request for Comments on Amendment to Free-Riding Interpretation Concerning Investment Partnerships
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