Notices

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 12-17
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