Notices

Regulatory Notice - 11-07
FINRA Revises the Sanction Guidelines
Wednesday, February 09, 2011
Regulatory Notice 11-08
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Thursday, February 10, 2011
Regulatory Notice 11-09
New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490
Tuesday, February 22, 2011
Regulatory Notice 11-10
FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
Friday, March 04, 2011
Regulatory Notice 11-11
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Friday, March 11, 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
Trade Reporting Notice - 6/3/11
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Friday, June 03, 2011