Notices

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
Regulatory Notice 08-66
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Tuesday, November 04, 2008
Regulatory Notice 08-26
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Wednesday, May 14, 2008
Information Notice - 5/15/08
April 2008 Supplement to the Options Disclosure Document
Thursday, May 15, 2008
Regulatory Notice 08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
Tuesday, May 20, 2008
Regulatory Notice 08-28
SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
Thursday, May 22, 2008
Regulatory Notice 08-29
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Monday, June 02, 2008
Information Notice - 6/9/08
Continuing Education Planning
Monday, June 09, 2008
Regulatory Notice 08-30
Guidance Relating to Illiquid Investments
Thursday, June 12, 2008
Regulatory Notice 08-31
SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders
Friday, June 20, 2008
Regulatory Notice 08-32
FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Monday, June 23, 2008
Regulatory Notice 08-33
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
Monday, June 30, 2008
Trade Reporting Notice - 7/1/08
FINRA Announces the Effective Date of Modifications to the TRACE System
Tuesday, July 01, 2008
Regulatory Notice 08-34
SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Wednesday, July 02, 2008
Regulatory Notice 08-35
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Monday, July 07, 2008
Regulatory Notice 08-36
SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions
Friday, July 11, 2008
Regulatory Notice 08-37
FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
Thursday, July 17, 2008
Regulatory Notice 08-38
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Wednesday, July 23, 2008
Regulatory Notice 08-39
FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Monday, July 28, 2008
Trade Reporting Notice - 7/28/08
FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
Monday, July 28, 2008
Regulatory Notice 08-40
Technology Changes for Reporting Certain Complaint
and Disclosure Information
Wednesday, August 06, 2008
Regulatory Notice 08-41
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
Friday, August 08, 2008
Trade Reporting Notice - 8/14/08
Trade Reporting Frequently Asked Questions
Thursday, August 14, 2008
Regulatory Notice 08-42
Guidance on Transactions in TRACE-Eligible Securities Under SEC Rule 144
Friday, August 15, 2008
Regulatory Notice 08-43
SEC Approves Expanding Disseminated Real-Time TRACE Data
Wednesday, August 20, 2008