Notices

Information Notice 10/2/09
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Friday, October 02, 2009
Regulatory Notice 09-58
SEC Approves Amendments Regarding Best Execution and Interpositioning
Friday, October 09, 2009
Regulatory Notice 09-59
FINRA Provides Guidance on Pandemic Preparedness
Monday, October 12, 2009
Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Thursday, October 15, 2009
Election Notice - 10/23/09
Notice of SFAB Election and Ballots
Friday, October 23, 2009
Regulatory Notice 09-61
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, October 23, 2009
Information Notice - 10/23/09
Continuing Education Planning
Friday, October 23, 2009
Regulatory Notice 09-62
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Wednesday, November 04, 2009
Information Notice 11/09/09
Continuing Education
Monday, November 09, 2009
Regulatory Notice 09-63
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Thursday, November 12, 2009
Regulatory Notice 09-64
Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
Friday, November 13, 2009
Regulatory Notice 09-65
FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs
Tuesday, November 17, 2009
Regulatory Notice 09-66
SEC Approves Changes to FINRA's BrokerCheck Disclosure Rule to Retain and Make Publicly Available Information About Final Regulatory Actions Against Former Brokers
Thursday, November 19, 2009
Regulatory Notice 09-67
Regulatory Element Continuing Education Fees to Increase
Friday, November 27, 2009
Regulatory Notice 09-68
SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees
Monday, November 30, 2009
Regulatory Notice 09-69
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Wednesday, December 02, 2009
Regulatory Notice 09-70
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Thursday, December 03, 2009
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 09-52
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