Notices

Regulatory Notice 09-71
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Monday, December 07, 2009
Information Notice 12/09/09
Certification of Annual Audits
Wednesday, December 09, 2009
Election Notice - 12/11/09
Upcoming District Committee and District Nominating Committee Elections
Friday, December 11, 2009
Regulatory Notice 09-36
SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Friday, July 10, 2009
Regulatory Notice 09-37
Trading in Motors Liquidation Company (Formerly Known as General Motors Corporation)
Tuesday, July 14, 2009
Regulatory Notice 09-38
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program
Wednesday, July 15, 2009
Election Notice - 7/20/09
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
Monday, July 20, 2009
Regulatory Notice 09-39
SEC Approves Changes to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
Tuesday, July 21, 2009
Regulatory Notice 09-40
SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures
Monday, July 27, 2009
Regulatory Notice 09-41
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
Tuesday, July 28, 2009
Regulatory Notice 09-42
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
Thursday, July 30, 2009
Regulatory Notice 09-43
SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Friday, July 31, 2009
Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Friday, July 31, 2009
Regulatory Notice 09-45
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
Tuesday, August 04, 2009
Regulatory Notice 09-46
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
Wednesday, August 05, 2009
Regulatory Notice 09-47
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
Thursday, August 06, 2009
Regulatory Notice 09-48
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Friday, August 14, 2009
Regulatory Notice 09-49
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Friday, August 14, 2009
Regulatory Notice 09-50
SEC Approval and Effective Date for New Consolidated FINRA Rules
Monday, August 17, 2009
Regulatory Notice 09-51
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
Thursday, August 20, 2009
Regulatory Notice 09-52
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
Thursday, August 27, 2009
Regulatory Notice 09-53
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Monday, August 31, 2009
Election Notice - 9/4/09
FINRA Small Firm Advisory Board Election
Friday, September 04, 2009
Regulatory Notice 09-54
SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Friday, September 04, 2009
Election Notice - 9/18/09
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Friday, September 18, 2009