Notices

Regulatory Notice 11-21
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
Thursday, May 05, 2011
Regulatory Notice 11-26
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Friday, May 27, 2011
Regulatory Notice 10-44
New Alert-Reporting Criterion for Leverage in FOCUS Reports
Wednesday, September 22, 2010
Regulatory Notice 10-46
Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
Monday, October 04, 2010
Regulatory Notice 10-57
Funding and Liquidity Risk Management Practices
Monday, November 01, 2010
Regulatory Notice 10-61
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
Friday, December 03, 2010
Regulatory Notice 10-21
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Thursday, April 15, 2010
Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Monday, July 19, 2010
Regulatory Notice 10-15
FINRA Requirements for Subordinations; Availability of New Standard Forms
Tuesday, March 30, 2010
Regulatory Notice 10-19
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Thursday, April 08, 2010
Regulatory Notice 10-18
FINRA Issues Guidance on Master and Sub-Account Arrangements
Tuesday, April 06, 2010
Regulatory Notice 10-03
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Tuesday, January 05, 2010
Regulatory Notice 10-12
Guidance on FAS 167 for FOCUS Reporting
Friday, February 19, 2010
Regulatory Notice 09-71
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Monday, December 07, 2009
Regulatory Notice 09-38
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program
Wednesday, July 15, 2009
Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Friday, July 31, 2009
Regulatory Notice 09-03
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
Tuesday, January 06, 2009
Regulatory Notice 08-46
Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
Friday, September 05, 2008
Regulatory Notice 08-56
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
Wednesday, October 15, 2008
Regulatory Notice 08-60
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
Tuesday, October 21, 2008
Regulatory Notice 08-65
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
Tuesday, November 04, 2008
Regulatory Notice 08-66
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Tuesday, November 04, 2008
Regulatory Notice 08-38
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Wednesday, July 23, 2008
Regulatory Notice 08-23
Proposed Consolidated FINRA Rules Governing Financial Responsibility
Wednesday, May 14, 2008
Regulatory Notice 08-08
FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products
Wednesday, March 05, 2008