Notices

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
Regulatory Notice 10-41
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Monday, September 20, 2010
Election Notice - 12/18/09
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
Friday, December 18, 2009
Information Notice 12/24/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Thursday, December 24, 2009
Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Tuesday, December 29, 2009
Regulatory Notice 10-01
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Monday, January 04, 2010
Regulatory Notice 10-02
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Tuesday, January 05, 2010
Regulatory Notice 10-03
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Tuesday, January 05, 2010
Regulatory Notice 10-04
SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
Friday, January 15, 2010
Regulatory Notice 10-05
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Thursday, January 21, 2010
Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Monday, January 25, 2010
Regulatory Notice 10-07
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Wednesday, January 27, 2010
Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Monday, February 08, 2010
Regulatory Notice 10-08
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
Wednesday, February 10, 2010
Election Notice - 2/12/10
Nominees for the District Committees and District Nominating Committees
Friday, February 12, 2010
Regulatory Notice 10-09
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
Friday, February 12, 2010
Regulatory Notice 10-10
SEC Approval and Effective Date for New Consolidated FINRA Rules
Tuesday, February 16, 2010
Regulatory Notice 10-11
Amendments to the Arbitration Rules Regarding Deficient Claims
Friday, February 19, 2010
Regulatory Notice 10-12
Guidance on FAS 167 for FOCUS Reporting
Friday, February 19, 2010
Regulatory Notice 10-13
SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
Tuesday, February 23, 2010
Regulatory Notice 10-14
SEC Approves Access to Historic TRACE Data and Related Fees
Friday, March 05, 2010
Information Notice - 3/10/10
Mid-Year Rate Adjustment for Fees Paid Under Section 31 of the Exchange Act
Wednesday, March 10, 2010
Information Notice - 3/24/10
New Firm Requirement to Designate a Super Account Administrator
Wednesday, March 24, 2010