Notices

Election Notice - 9/5/12
Upcoming Election to Fill FINRA District Committee Vacancies
Wednesday, September 05, 2012
Regulatory Notice 12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Wednesday, September 05, 2012
Regulatory Notice 12-39
FINRA Requests Comment on TRACE Dissemination Issues
Wednesday, September 05, 2012
Regulatory Notice 12-41
FINRA Amends the TAF Rate for Transactions in Covered Security Futures
Wednesday, September 26, 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
Election Notice - 10/17/12
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Wednesday, October 17, 2012
Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Wednesday, October 17, 2012
Election Notice - 10/17/12
Notice of FINRA District Committee Election and Ballots
Wednesday, October 17, 2012
Regulatory Notice 12-43
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, October 19, 2012
Information Notice - 10/19/12
Continuing Education Planning
Friday, October 19, 2012
Regulatory Notice 12-44
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Friday, October 26, 2012
Regulatory Notice 12-47
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Wednesday, October 31, 2012
Regulatory Notice 12-45
Guidance to Members Affected by Hurricane Sandy
Tuesday, October 30, 2012
Regulatory Notice 12-46
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
Wednesday, October 31, 2012
Regulatory Notice 12-48
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
Thursday, November 01, 2012
Regulatory Notice 12-49
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
Thursday, November 01, 2012
Regulatory Notice 12-50
SEC Approves Amendments Relating to Stop Orders
Friday, November 02, 2012
Regulatory Notice 12-51
FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from November 5, 2012, to November 12, 2012
Friday, November 02, 2012
Information Notice - 11/20/12
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
Tuesday, November 20, 2012
Information Notice - 11/26/12
Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
Monday, November 26, 2012
Information Notice - 12/3/12
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
Monday, December 03, 2012
Regulatory Notice 12-52
SEC Approves Consolidated Front Running Rule
Monday, December 03, 2012
Regulatory Notice 12-23
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Friday, May 04, 2012
Election Notice - 5/11/12
Nominees for Upcoming FINRA Board of Governors Election
Friday, May 11, 2012
Regulatory Notice 12-24
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
Tuesday, May 15, 2012