Notices

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
Regulatory Notice 08-23
Proposed Consolidated FINRA Rules Governing Financial Responsibility
Wednesday, May 14, 2008
Regulatory Notice 07-56
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Monday, November 19, 2007
Regulatory Notice 07-57
SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Friday, November 23, 2007
Information Notice 11/26/07
Continuing Education Planning
Monday, November 26, 2007
Regulatory Notice 07-58
FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Monday, November 26, 2007
Regulatory Notice 07-59
FINRA Provides Guidance Regarding the Review and Supervision of Electronic Communications
Friday, December 07, 2007
Regulatory Notice 07-60
FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays
Tuesday, December 11, 2007