Notices

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
Regulatory Notice 12-25
Additional Guidance on FINRA’s New Suitability Rule
Friday, May 18, 2012
Regulatory Notice 11-43
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Tuesday, September 20, 2011
Trade Reporting Notice - 9/23/11
FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
Friday, September 23, 2011
Trade Reporting Notice - 9/23/11
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
Friday, September 23, 2011
Regulatory Notice 11-44
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Thursday, September 29, 2011
Regulatory Notice 11-45
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Thursday, September 29, 2011
Regulatory Notice 11-46
FINRA to Require Electronic Submission of Annual Audit Reports
Monday, October 03, 2011
Election Notice - 10/19/11
Notice of FINRA District Committee Election and Ballots
Wednesday, October 19, 2011
Election Notice - 10/19/11
Notice of FINRA Small Firm Advisory Board Election and Ballots
Wednesday, October 19, 2011
Election Notice - 10/19/11
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Wednesday, October 19, 2011
Regulatory Notice 11-47
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, October 14, 2011
Information Notice - 10/14/11
Continuing Education Planning
Friday, October 14, 2011
Regulatory Notice 11-48
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Friday, October 21, 2011
Information Notice - 10/28/11
FINRA Entitlement User Account Certification
Friday, October 28, 2011
Election Notice - 10/25/11
Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
Tuesday, October 25, 2011
Regulatory Notice 11-49
FINRA Provides Guidance on Advertising Regulation Issues
Thursday, October 27, 2011
Regulatory Notice 11-50
SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Wednesday, November 02, 2011
Regulatory Notice 11-51
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
Wednesday, November 02, 2011
Trade Reporting Notice – 11/7/11
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Monday, November 07, 2011
Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Friday, November 11, 2011