Notices

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
Notice to Members 07-03
NASD Announces SEC Approval of Amendments to Rule 2860 and Issues Guidance Concerning Large Options Position Reports and Aggregation of Certain Positions;
Friday, January 12, 2007
Notice to Members 07-04
Codification of Interpretations to Rule 2711;
Wednesday, January 24, 2007
Notice to Members 07-05
Amendments to the Fees for Filing Offering Documents by Well Known Seasoned Issuers Pursuant to the Corporate Financing Rule
Wednesday, February 07, 2007
Notice to Members 07-06
Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
Tuesday, February 13, 2007
Notice to Members 07-07
SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Thursday, February 15, 2007
Notice to Members 07-08
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
Thursday, February 15, 2007
Notice to Members 07-09
SEC Approves Amendments to NASD Rules to Modify and Expand NASD's Authority to Initiate Trading and Quotation Halts in Over-the-Counter (OTC) Equity Securities;
Friday, February 16, 2007
Notice to Members 07-10
SEC Approves Changes to NASD Interpretive Material 8310-2 Regarding the Release of Information through NASD BrokerCheck
Friday, February 16, 2007