Notices

Regulatory Notice 09-50
SEC Approval and Effective Date for New Consolidated FINRA Rules
Monday, August 17, 2009
Regulatory Notice 09-55
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Monday, September 21, 2009
Regulatory Notice 09-10
SEC Approves Rule Relating to Supervision of Market Letters
Thursday, February 05, 2009
Regulatory Notice 09-17
FINRA Provides Guidance on its Enforcement Process
Wednesday, March 18, 2009
Regulatory Notice 09-28
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
Wednesday, May 27, 2009
Regulatory Notice 08-77
Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
Friday, December 12, 2008
Regulatory Notice 08-81
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
Tuesday, December 16, 2008
Regulatory Notice 08-82
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
Tuesday, December 16, 2008
Regulatory Notice 08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
Friday, December 05, 2008
Information Notice - 8/26/08
June 2008 Supplement to the Options Disclosure Document
Tuesday, August 26, 2008
Regulatory Notice 08-48
Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
Thursday, September 18, 2008
Regulatory Notice 08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Tuesday, October 14, 2008
Regulatory Notice 08-58
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Friday, October 17, 2008
Regulatory Notice 08-66
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Tuesday, November 04, 2008
Regulatory Notice 08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Wednesday, May 14, 2008
Regulatory Notice 08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
Tuesday, May 20, 2008
Regulatory Notice 08-28
SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
Thursday, May 22, 2008
Regulatory Notice 08-30
Guidance Relating to Illiquid Investments
Thursday, June 12, 2008
Regulatory Notice 08-35
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Monday, July 07, 2008
Regulatory Notice 08-39
FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Monday, July 28, 2008
Regulatory Notice 08-12
SEC Approves Amendment to NASD Rule 2210 to Create an Exception to the Principal Approval Requirements for Certain Filed Sales Material
Wednesday, March 26, 2008
Regulatory Notice 08-15
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination
Monday, April 07, 2008
Regulatory Notice 08-16
Member Firm Disclosure and Supervisory Review Obligations
Monday, April 07, 2008
Regulatory Notice 08-21
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
Wednesday, April 30, 2008
Regulatory Notice 07-64
SEC approves amendments to NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
Wednesday, December 19, 2007