Notices

Regulatory Notice 11-38
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
Monday, August 08, 2011
Regulatory Notice 11-39
Guidance on Social Networking Websites and Business Communications
Thursday, August 18, 2011
Election Notice - 9/7/11
Nomination and Election Process to Fill FINRA District Committee Vacancies
Wednesday, September 07, 2011
Election Notice - 9/7/11
FINRA Small Firm Advisory Board Election
Wednesday, September 07, 2011
Regulatory Notice 11-41
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Monday, September 12, 2011
Regulatory Notice 11-42
Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
Friday, September 16, 2011
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