Notices

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
Regulatory Notice 11-53
SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
Monday, November 21, 2011
Regulatory Notice 11-12
FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act
Friday, March 18, 2011
Regulatory Notice 11-13
FINRA Revises Sanction Guidelines
Tuesday, March 22, 2011
Regulatory Notice 11-14
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Tuesday, March 29, 2011
Regulatory Notice 11-15
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Monday, April 04, 2011
Regulatory Notice 11-16
Treatment of Non-Margin Eligible Equity Securities
Thursday, April 07, 2011
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Friday, April 15, 2011
Regulatory Notice 11-18
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, April 15, 2011
Information Notice - 4/15/11
Continuing Education Planning
Friday, April 15, 2011
Information Notice - 4/20/11
March 2011 Supplement to the Options Disclosure Document
Wednesday, April 20, 2011
Regulatory Notice 11-19
SEC Approves Consolidated FINRA Rules Governing Books and Records
Wednesday, April 27, 2011
Regulatory Notice 11-20
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
Monday, May 02, 2011
Election Notice - 5/3/11
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
Tuesday, May 03, 2011
Regulatory Notice 11-21
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
Thursday, May 05, 2011
Regulatory Notice 11-22
Arbitration Panel Composition for Promissory Note Disputes
Friday, May 06, 2011
Regulatory Notice 11-23
Five-Day Period for Replies to Responses to Motions in Arbitration
Friday, May 06, 2011
Trade Reporting Notice - 5/10/11
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Tuesday, May 10, 2011
Regulatory Notice 11-24
SEC Approves Consolidated FINRA Customer Order Protection Rule
Thursday, May 12, 2011
Regulatory Notice 11-25
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Wednesday, May 18, 2011
Regulatory Notice 11-26
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Friday, May 27, 2011