Notices

Notice to Members 07-20
NASD Amends Rules 1012 and 1013 to Require Applicants for Membership to Submit Applications Using Online Form NMA
Tuesday, May 01, 2007
Notice to Members 07-21
Reporting of Transactions in TRACE-Eligible Securities With Execution Dates More Than T+365 Days Before Date of Report;
Friday, May 04, 2007
Notice to Members 07-22
NASD Establishes New OTC Equity Trade and Quote Halt Codes
Friday, May 04, 2007
Notice to Members 07-23
NASD Trade Reporting Requirements Related to Regulation NMS
Friday, May 11, 2007
Notice to Members 07-24
New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG);
Tuesday, May 15, 2007
Notice to Members 07-25
NASD Provides Guidance Concerning Trade Reporting Obligations for Transactions in Foreign Securities and American Depositary Receipts
Friday, May 18, 2007
Notice to Members 07-26
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Monday, May 21, 2007
Notice to Members 07-27
NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings
Tuesday, June 05, 2007
Notice to Members 07-28
SEC Approves Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
Tuesday, June 05, 2007
Notice to Members 07-29
SEC Approves Rule 2342 Setting Forth Requirements for Providing SIPC Information to Customers
Friday, June 08, 2007
Notice to Members 07-30
NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications;
Thursday, June 14, 2007
Notice to Members 07-31
NASD Rule Changes to Conform with Amendments to SEC Rule 10a-1 and Regulation SHO
Thursday, July 05, 2007
Notice to Members 07-32
NASD Amends Rule 3013 and Interpretive Material 3013 to Permit Members to Designate Co-Chief Executive Officers and Multiple Chief Compliance Officers
Wednesday, July 25, 2007
Election Notice - 8/3/07
Nominees for FINRA Board of Governors
Friday, August 03, 2007
Regulatory Notice 07-33
FINRA Adopts Rule Amendments Relating to Non-Tape (or Clearing-Only) Reports for Previously Executed Trades; (Including Step-outs, Reversals and Riskless Principal Transactions)
Friday, August 03, 2007
Regulatory Notice 07-34
SEC Approves Amendments Relating to the Issuer-Directed Provisions of Rule 2790
Monday, August 06, 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
Regulatory Notice 07-43
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
Monday, September 10, 2007