Notices

Regulatory Notice 12-07
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
Wednesday, February 08, 2012
Information Notice - 2/9/12
January 2012 Supplement to the Options Disclosure Document
Thursday, February 09, 2012
Regulatory Notice 12-08
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
Friday, February 10, 2012
Regulatory Notice 12-09
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Friday, February 17, 2012
Regulatory Notice 12-10
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Tuesday, February 21, 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
Information Notice 2/9/12
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Wednesday, February 29, 2012
Regulatory Notice 12-12
SEC Approves Amendments to FINRA’s Code of Procedure
Thursday, March 01, 2012
Information Notice - 3/1/12
Revised Fee for Fingerprint Processing
Thursday, March 01, 2012
Regulatory Notice 12-13
SEC Approves Consolidated FINRA Best Execution Rule
Friday, March 02, 2012
Regulatory Notice 12-14
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Wednesday, March 07, 2012
Information Notice - 3/8/12
New Rate for Fees Paid Under Section 31 of the Exchange Act
Thursday, March 08, 2012
Regulatory Notice 12-15
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Wednesday, March 14, 2012
Regulatory Notice 12-16
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Tuesday, March 27, 2012
Regulatory Notice 12-17
SEC Approves Consolidated Telemarketing Rule
Monday, April 02, 2012
Information Notice - 4/2/12
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
Monday, April 02, 2012
Regulatory Notice 12-18
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Thursday, April 05, 2012
Regulatory Notice 12-19
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Wednesday, April 11, 2012
Regulatory Notice 12-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, April 13, 2012
Information Notice - 4/13/12
Continuing Education Planning
Friday, April 13, 2012
Regulatory Notice 12-21
SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Friday, April 20, 2012
Regulatory Notice 12-22
New Electronic Filing System for Public Offering Filings
Monday, April 30, 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