Notices

Regulatory Notice 24-02
FINRA Adopts FINRA Rule 3110.19 (Residential Supervisory Location) and FINRA Rule 3110.18 (Remote Inspections Pilot Program), and Announces End of Temporary Relief Related to Updates of Office Information on Forms U4 and BR
Tuesday, January 23, 2024
Notice To Members 89-34
Guidelines For Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures
Saturday, April 01, 1989
Notice To Members 88-84
SEC Approval of Amendments to NASD Rules of Fair Practice and Conforming Amendments to the By-Laws Re: Supervisory Practices and Definitions of Branch Office and Office of Supervisory Jurisdiction
Tuesday, November 01, 1988
Regulatory Notice 14-10
SEC Approves New Supervision Rules
Wednesday, March 19, 2014
Regulatory Notice 11-54
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
Wednesday, November 30, 2011
Regulatory Notice 07-64
SEC approves amendments to NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
Wednesday, December 19, 2007
Notice to Members 06-12
Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006 Joint Interpretive Guidance from NASD and the NYSE Relating to Uniform Branch Office Definition Under NASD Rule 3010(g)(2) and NYSE Rule 342.10
Tuesday, March 21, 2006
Notice to Members 05-67
SEC Approves Uniform Branch Office Definition and Related Interpretive Material
Thursday, October 06, 2005
Notice to Members 04-71
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls
Monday, October 04, 2004
Notice to Members 99-45
NASD Provides Guidance on Supervisory Responsibilities
Tuesday, June 01, 1999
Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Friday, May 01, 1998