Notices

Regulatory Notice 09-18
EBS Submissions Following Implementation of the Option Symbology Initiative
Monday, March 30, 2009
Regulatory Notice 09-19
Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications
Thursday, April 09, 2009
Regulatory Notice 09-20
SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination
Wednesday, April 15, 2009
Regulatory Notice 09-21
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
Wednesday, April 15, 2009
Regulatory Notice 09-22
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
Tuesday, April 21, 2009
Information Notice 4/29/09
Use of FINRA Logo
Wednesday, April 29, 2009
Election Notice - 5/15/09
Notice of Special Meeting of Large Firms and Proxy
Friday, May 15, 2009
Regulatory Notice 09-23
SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Friday, May 15, 2009
Regulatory Notice 09-24
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
Friday, May 15, 2009
Regulatory Notice 09-25
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Friday, May 15, 2009
Regulatory Notice 09-26
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Tuesday, May 19, 2009
Regulatory Notice 09-27
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
Monday, May 18, 2009
Information Notice - 5/20/09
Continuing Education Planning
Wednesday, May 20, 2009
Regulatory Notice 09-28
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
Wednesday, May 27, 2009
Regulatory Notice 09-29
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Monday, June 01, 2009
Information Notice - 12/8/08
Continuing Application of NASD Rules and Incorporated NYSE Rules
Monday, December 08, 2008
Regulatory Notice 08-75
Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
Wednesday, December 10, 2008
Regulatory Notice 08-76
Technology Changes for Reporting Clearing Methods and Arrangements
Thursday, December 11, 2008
Regulatory Notice 08-77
Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
Friday, December 12, 2008
Regulatory Notice 08-78
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
Monday, December 15, 2008
Regulatory Notice 08-79
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Monday, December 15, 2008
Regulatory Notice 08-80
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Tuesday, December 16, 2008
Regulatory Notice 08-81
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
Tuesday, December 16, 2008
Regulatory Notice 08-82
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
Tuesday, December 16, 2008
Information Notice - 12/23/08
2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Tuesday, December 23, 2008