Notices

Regulatory Notice 10-25
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Wednesday, May 26, 2010
Information Notice - 5/26/10
DTCC to Provide FINRA Access to Participant Position Reports
Wednesday, May 26, 2010
Regulatory Notice 10-26
SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
Friday, May 28, 2010
Regulatory Notice 10-27
Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
Wednesday, June 09, 2010
Regulatory Notice 10-28
New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
Wednesday, June 09, 2010
Regulatory Notices 10-29
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Friday, June 11, 2010
Information Notice 6/15/10
May 2010 Supplement to the Options Disclosure Document
Tuesday, June 15, 2010
Regulatory Notice 10-30
SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility
Thursday, June 17, 2010
Regulatory Notice 10-31
Change to Expedited Proceedings for Failure to Comply with an Arbitration Award or Related Settlement
Friday, June 18, 2010
Regulatory Notice 10-32
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Friday, July 02, 2010
Election Notice - 7/12/10
Notice of Annual Meeting of FINRA Firms and Proxy
Monday, July 12, 2010
Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Monday, July 19, 2010
Regulatory Notice 10-34
SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
Friday, July 23, 2010
Election Notice - 7/30/10
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Friday, July 30, 2010
Information Notice - 8/3/10
FINRA Reminds Firms of Upcoming Changes to BrokerCheck
Tuesday, August 03, 2010
Regulatory Notice 10-35
SEC Approval and Effective Date for New Consolidated FINRA Rule
Monday, August 16, 2010
Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier
Thursday, August 19, 2010
Regulatory Notice 10-36
Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
Thursday, August 26, 2010
Regulatory Notice 10-37
Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Friday, August 27, 2010
Regulatory Notice 10-38
SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
Friday, August 27, 2010
Election Notice - 9/3/10
FINRA Small Firm Advisory Board Election
Friday, September 03, 2010
Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Tuesday, September 07, 2010
Regulatory Notice 10-39
Obligation to Provide Timely, Complete and Accurate Information on Form U5
Wednesday, September 08, 2010
Regulatory Notice 10-40
Non-Party Witness’ Attorney May Attend Hearing While Witness Is Testifying
Tuesday, September 14, 2010
Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Friday, September 17, 2010