Notices

Regulatory Notice 15-27
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Thursday, July 30, 2015
Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, June 29, 2015
Regulatory Notice 15-23
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
Friday, June 19, 2015
Regulatory Notice 14-43
SEC Approves Supplemental Inventory Schedule
Thursday, October 23, 2014
Regulatory Notice 14-39
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
Wednesday, October 08, 2014
Regulatory Notice 14-38
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, October 06, 2014
Regulatory Notice 14-05
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Monday, February 03, 2014
Regulatory Notice 14-06
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Friday, February 07, 2014
Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, March 24, 2014
Regulatory Notice 14-13
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Tuesday, March 25, 2014
Regulatory Notice 14-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, June 23, 2014
Regulatory Notice 13-41
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
Thursday, December 19, 2013
Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, December 23, 2013
Regulatory Notice 14-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Monday, January 27, 2014
Regulatory Notice 12-54
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
Friday, December 07, 2012
Regulatory Notice 12-58
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Thursday, December 27, 2012
Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Thursday, January 24, 2013
Regulatory Notice - 13-10
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Monday, March 04, 2013
Regulatory Notice 12-23
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Friday, May 04, 2012
Regulatory Notice 12-11
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
Tuesday, February 28, 2012
Regulatory Notice 11-33
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Friday, July 22, 2011
Regulatory Notice 11-38
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
Monday, August 08, 2011
Regulatory Notice 11-46
FINRA to Require Electronic Submission of Annual Audit Reports
Monday, October 03, 2011
Regulatory Notice 11-48
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Friday, October 21, 2011
Regulatory Notice 11-14
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Tuesday, March 29, 2011