Notices

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
Regulatory Notice 08-44
SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Friday, August 22, 2008
Trade Reporting Notice - 2/22/08
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Friday, February 22, 2008
Election Notice - 2/27/08
Nominees for the District Committees and District Nominating Committees
Wednesday, February 27, 2008
Regulatory Notice 08-08
FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products
Wednesday, March 05, 2008
Information Notice - 3/10/08
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act
Monday, March 10, 2008
Information Notice - 3/12/08
Rulebook Consolidation Process
Wednesday, March 12, 2008
Regulatory Notice 08-09
FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
Friday, March 14, 2008
Trade Reporting Notice - 3/18/08
Revised Policy for Disseminating Reports of Fewer Than 100 Shares
Tuesday, March 18, 2008
Regulatory Notice 08-10
FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options
Wednesday, March 19, 2008
Regulatory Notice 08-11
Q&A on Electronic Filing Requirements of NASD Rule 3170
Monday, March 24, 2008
Regulatory Notice 08-12
SEC Approves Amendment to NASD Rule 2210 to Create an Exception to the Principal Approval Requirements for Certain Filed Sales Material
Wednesday, March 26, 2008
Regulatory Notice 08-13
FINRA Consolidates the Collection of Short Interest Data
Thursday, March 27, 2008
Regulatory Notice 08-14
FINRA Implements New Electronic Form NMA Filing Requirement
Friday, March 28, 2008
Information Notice - 4/1/08
FINRA Implements Changes to OTC Reporting Facility and OTC Bulletin Board Invoice Processes
Tuesday, April 01, 2008
Regulatory Notice 08-15
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination
Monday, April 07, 2008
Regulatory Notice 08-16
Member Firm Disclosure and Supervisory Review Obligations
Monday, April 07, 2008
Regulatory Notice 08-17
Reporting of Customer Complaints Relating to Auction Rate Securities
Tuesday, April 08, 2008
Regulatory Notice 08-18
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
Tuesday, April 08, 2008
Election Notice - 4/11/08
Election Results for District Committees and District Nominating Committees
Friday, April 11, 2008
Regulatory Notice 08-19
SEC Approves Rule Change to Amend FINRA's Gross Income Assessment
Friday, April 11, 2008
Regulatory Notice 08-20
FINRA Requests Comments on Proposed Changes to Forms U4 and U5
Thursday, April 24, 2008
Regulatory Notice 08-21
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
Wednesday, April 30, 2008
Regulatory Notice 08-22
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Friday, May 09, 2008