Guidance

Annual Regulatory and Examination Priorities Letters
2010 Regulatory and Examination Priorities Letter
March 01, 2010
Guidance
Regulatory Notice 10-12
February 19, 2010
Guidance
Regulatory Notice 10-09
February 12, 2010
Guidance
Regulatory Notice 10-08
February 10, 2010
Notice
Regulatory Notice 10-06
January 25, 2010
Notice
Regulatory Notice 10-05
January 21, 2010
Notice
Regulatory Notice 09-73
December 17, 2009
Notice
Regulatory Notice 09-64
November 13, 2009
Guidance
Targeted Examination Letter on Retail Forex Trading
November 01, 2009
Report / Study
Pandemic Preparedness Survey Results
October 26, 2009
Notice
Regulatory Notice 09-61
October 23, 2009
Guidance
Regulatory Notice 09-59
October 12, 2009
Guidance
Report of the 2009 Special Review Committee on FINRA’s Examination Program in Light of the Stanford and Madoff Schemes
October 09, 2009
Notice
Regulatory Notice 09-47
August 06, 2009
Guidance
Regulatory Notice 09-46
August 05, 2009
Notice
Regulatory Notice 09-42
July 30, 2009
Guidance
Regulatory Notice 09-38
July 15, 2009
Guidance
Regulatory Notice 09-35
June 30, 2009
Notice
Regulatory Notice 09-31
June 11, 2009
Exemptive Letter
Name Not Public
June 10, 2009
Guidance
Targeted Examination Letter on Retail Municipal Securities Transactions
June 01, 2009
Guidance
Targeted Examination Letter on Structured Products Review
June 01, 2009
Targeted Examination Letter
Targeted Examination Letter on the Retail Sale of “Gas Bonds”
June 01, 2009
Notice
Regulatory Notice 09-28
May 27, 2009
Guidance
Regulatory Notice 09-26
May 19, 2009