Notices

Regulatory Notice 21-27
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Thursday, July 22, 2021
Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, June 29, 2015
Regulatory Notice 14-06
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Friday, February 07, 2014
Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, March 24, 2014
Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, December 23, 2013
Regulatory Notice 12-58
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Thursday, December 27, 2012
Regulatory Notice 11-38
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
Monday, August 08, 2011
Regulatory Notice 09-38
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program
Wednesday, July 15, 2009
Regulatory Notice 08-46
Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
Friday, September 05, 2008
Regulatory Notice 08-56
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
Wednesday, October 15, 2008
Regulatory Notice 08-60
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
Tuesday, October 21, 2008
Regulatory Notice 08-65
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities
Tuesday, November 04, 2008
Notice to Members 07-16
Frequently Asked NASD Financial and Operational Questions
Monday, April 09, 2007