Notices

Regulatory Notice 08-68
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Tuesday, November 18, 2008
Election Notice - 11/21/08
Notice of SFAB Election and Ballots
Friday, November 21, 2008
Regulatory Notice 08-69
Alert to Member Firms About the Federal Trade Commission’s FACT Act Regulations and the Announcement of the FTC’s Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
Wednesday, November 26, 2008
Regulatory Notice 08-70
FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
Friday, November 28, 2008
Regulatory Notice 08-71
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Friday, November 28, 2008
Regulatory Notice 08-72
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
Wednesday, December 03, 2008
Regulatory Notice 08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
Friday, December 05, 2008
Regulatory Notice 08-74
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
Monday, December 08, 2008
Election Notice - 12/8/08
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
Monday, December 08, 2008
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
Regulatory Notice 08-83
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
Wednesday, December 24, 2008
Regulatory Notice 08-63
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Thursday, October 30, 2008
Information Notice - 10/31/08
Continuing Education Planning
Friday, October 31, 2008
Regulatory Notice 08-64
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication
Friday, October 31, 2008
Information Notice - 11/3/08
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Monday, November 03, 2008
Regulatory Notice 08-65
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities
Tuesday, November 04, 2008