Notices

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
Regulatory Notice 10-53
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Tuesday, October 26, 2010
Regulatory Notice 10-54
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Wednesday, October 27, 2010
Regulatory Notice 10-55
FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Wednesday, October 27, 2010
Regulatory Notice 10-56
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
Friday, October 29, 2010
Regulatory Notice 10-57
Funding and Liquidity Risk Management Practices
Monday, November 01, 2010
Regulatory Notice 10-58
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2011
Wednesday, November 03, 2010
Regulatory Notice 10-59
SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device
Monday, November 29, 2010
Regulatory Notice 10-60
SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
Monday, November 29, 2010
Information Notice - 12/2/10
2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Thursday, December 02, 2010
Regulatory Notice 10-61
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
Friday, December 03, 2010
Information Notice - 12/14/10
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, December 14, 2010
Regulatory Notice 10-62
SEC Approval and Effective Date for New Consolidated FINRA Rule
Wednesday, December 15, 2010
Regulatory Notice 11-01
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Tuesday, January 04, 2011
Information Notice - 1/6/11
New Rate for Fees Paid Under Section 31 of the Exchange Act
Thursday, January 06, 2011
Regulatory Notice 11-02
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Monday, January 10, 2011
Regulatory Notice 11-03
FINRA Expands the Order Audit Trail System toAll NMS Stocks
Tuesday, January 11, 2011
Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Tuesday, January 11, 2011