Guidance
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Guidance
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities; Effective Date: November 4, 2008
November 04, 2008
Guidance
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
November 04, 2008
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 30, 2008
Guidance
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
October 23, 2008
Notice
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
October 17, 2008
Guidance
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
October 15, 2008
Notice
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
October 07, 2008
Notice
08-50 - Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
September 24, 2008
Notice
08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
September 15, 2008
Guidance
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
September 05, 2008
Notice
Effective September 22, 2008, FINRA will begin deducting all delinquent arbitration and mediation fees owed by member firms from their Central Registration Depository accounts.
August 25, 2008
Notice
The SEC recently adopted changes to SEC Rule 144 that shorten the
holding period requirements for privately placed securities before they can
be sold into the secondary market, subject to the conditions of the rule,
and that may change industry conventions in the resale of privately placed
debt securities.
August 15, 2008
Guidance
In January 2003, NASD’s Advertising Regulation Department contacted 64 NASD member firms to determine their level of compliance with the NASD and SEC rules that govern advertisements and sales literature for hedge funds and funds of hedge funds. Twenty-five firms responded that they had not used such communications during the subject time period. Thirty-nine firms responded with submissions of over 1000 communications including Web pages, brochures, electronic newsletters, seminar materials, and form letters.
August 12, 2008
Notice
Technology Changes for Reporting Certain Complaint
and Disclosure Information
August 06, 2008
Guidance
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
July 23, 2008
Notice
Regulatory Notice 08-37 - FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
July 17, 2008
Interpretive Letter
NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities
July 09, 2008
Guidance
FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
June 23, 2008
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
June 02, 2008
Notice
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
May 20, 2008
Interpretive Letter
NASD Rule 2510 - Discretionary Accounts - Use of a negative response process under NASD Rule 2510(d)(2)(D) to designate an alternative money market sweep fund when existing sweep fund closes with inadequate notice.
May 15, 2008
Guidance
FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
May 01, 2008