Notices

Regulatory Notice 07-47
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA
Friday, October 05, 2007
Regulatory Notice 07-48
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Monday, October 08, 2007
Regulatory Notice 07-49
Guidance for Firms Affected by the California Wildfires
Thursday, October 25, 2007
Regulatory Notice 07-50
SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
Monday, October 29, 2007
Regulatory Notice 07-51
Amendments to NASD IM-9216 to include certain NYSE Rules under the Minor Rule Violation Plan
Tuesday, October 30, 2007
Election Notice - 11/1/07
FINRA Small Firm Advisory Board Election
Thursday, November 01, 2007
Regulatory Notice 07-52
SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
Friday, November 02, 2007
Regulatory Notice 07-53
SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions
Tuesday, November 06, 2007
Regulatory Notice 07-54
SEC Approves New NASD Rule 2290 Regarding Fairness Opinions
Thursday, November 08, 2007
Regulatory Notice 07-55
FINRA Reminds Member Firms of Their Obligations Regarding Background Investigations of Prospective Personnel
Wednesday, November 14, 2007
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
Regulatory Notice 07-61
SEC Approves Exemption from TRACE Reporting Requirements for Certain "Derivative-Related Transactions"
Tuesday, December 11, 2007
Regulatory Notice 07-35
Extension of Temporary Relief from NYSE Rule 409(f) (Statements of Accounts to Customers) to January 1, 2008
Friday, August 10, 2007
Regulatory Notice 07-36
FINRA Clarifies Guidance Relating to SEC Regulation S-P under Notice to Members 07-06 (Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products)
Monday, August 13, 2007
Regulatory Notice 07-37
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Tuesday, August 28, 2007
Regulatory Notice 07-38
FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades
Wednesday, August 29, 2007
Regulatory Notice 07-39
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders
Thursday, August 30, 2007
Notice to Members 07-40
SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
Friday, August 31, 2007
Regulatory Notice 07-41
Member Firms are Reminded to Register with FINRA Associated Persons Who Also are Registered with Another SRO in a FINRA-Recognized Registration Category
Thursday, September 06, 2007
Regulatory Notice 07-42
SEC Approves NASD Rule 1160 Regarding Firm Contact Information
Friday, September 07, 2007