Notices

Regulatory Notice - 11-07
FINRA Revises the Sanction Guidelines
Wednesday, February 09, 2011
Regulatory Notice 11-11
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Friday, March 11, 2011
Regulatory Notice 11-13
FINRA Revises Sanction Guidelines
Tuesday, March 22, 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
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
Regulatory Notice 10-51
Sales Practice Obligations for Commodity Futures-Linked Securities
Wednesday, October 20, 2010
Regulatory Notice 10-52
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
Thursday, October 21, 2010
Regulatory Notice 11-02
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Monday, January 10, 2011
Regulatory Notice 11-02
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Monday, January 10, 2011
Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Tuesday, January 11, 2011
Regulatory Notice 10-19
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Thursday, April 08, 2010
Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Tuesday, April 20, 2010
Information Notice 6/15/10
May 2010 Supplement to the Options Disclosure Document
Tuesday, June 15, 2010
Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Tuesday, September 07, 2010
Regulatory Notice 10-41
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Monday, September 20, 2010
Regulatory Notice 09-73
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
Thursday, December 17, 2009
Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Tuesday, December 29, 2009
Regulatory Notice 10-05
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Thursday, January 21, 2010
Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Monday, January 25, 2010
Regulatory Notice 10-09
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
Friday, February 12, 2010
Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Thursday, October 15, 2009
Regulatory Notice 09-31
FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
Thursday, June 11, 2009
Regulatory Notice 09-32
SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
Thursday, June 11, 2009
Regulatory Notice 09-34
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Wednesday, June 17, 2009
Regulatory Notice 09-42
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
Thursday, July 30, 2009