Notices

Regulatory Notice 14-14
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Tuesday, April 08, 2014
Regulatory Notice 14-19
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Wednesday, April 30, 2014
Regulatory Notice 14-24
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Friday, May 23, 2014
Regulatory Notice 14-30
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Friday, July 11, 2014
Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Wednesday, October 23, 2013
Regulatory Notice 13-45
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
Monday, December 30, 2013
Regulatory Notice 13-03
FINRA Provides Guidance on New Rules Governing Communications With the Public
Monday, January 07, 2013
Regulatory Notice 13-18
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
Thursday, May 02, 2013
Regulatory Notice 13-23
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Thursday, July 18, 2013
Regulatory Notice 12-29
SEC Approves New Rules Governing Communications With the Public
Thursday, June 14, 2012
Regulatory Notice 12-32
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
Tuesday, June 26, 2012
Regulatory Notice 12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Wednesday, September 05, 2012
Regulatory Notice 12-42
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Thursday, October 11, 2012
Regulatory Notice 12-02
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Friday, January 13, 2012
Regulatory Notice 12-03
Heightened Supervision of Complex Products
Tuesday, January 17, 2012
Information Notice - 2/9/12
January 2012 Supplement to the Options Disclosure Document
Thursday, February 09, 2012
Regulatory Notice 12-09
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Friday, February 17, 2012
Regulatory Notice 12-14
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Wednesday, March 07, 2012
Regulatory Notice 12-17
SEC Approves Consolidated Telemarketing Rule
Monday, April 02, 2012
Regulatory Notice 11-39
Guidance on Social Networking Websites and Business Communications
Thursday, August 18, 2011
Regulatory Notice 11-41
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Monday, September 12, 2011
Regulatory Notice 11-44
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Thursday, September 29, 2011
Regulatory Notice 11-49
FINRA Provides Guidance on Advertising Regulation Issues
Thursday, October 27, 2011
Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Friday, November 11, 2011
Regulatory Notice 11-25
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Wednesday, May 18, 2011