Notices

Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Wednesday, April 12, 2017
Regulatory Notice 16-18
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Monday, May 16, 2016
Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Wednesday, August 26, 2015
Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Wednesday, August 26, 2015
Regulatory Notice 15-19
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
Wednesday, May 27, 2015
Regulatory Notice 12-49
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
Thursday, November 01, 2012
Regulatory Notice 11-41
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Monday, September 12, 2011
Regulatory Notice 10-60
SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
Monday, November 29, 2010
Regulatory Notice 09-49
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Friday, August 14, 2009
Regulatory Notice 09-11
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
Tuesday, February 17, 2009
Regulatory Notice 09-27
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
Monday, May 18, 2009
Regulatory Notice 08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Tuesday, October 14, 2008
Regulatory Notice 08-16
Member Firm Disclosure and Supervisory Review Obligations
Monday, April 07, 2008
Notice to Members 06-36
NASD and NYSE Joint Interpretive Guidance on Fixed Income Research
Monday, July 31, 2006
Notice to Members 06-21
NASD and NYSE Issue Joint Guidance on Charitable Contributions
Friday, May 05, 2006
Notice to Members 05-26
NASD Recommends Best Practices for Reviewing New Products
Wednesday, April 06, 2005
Notice to Members 02-39
SEC Approves Rule Governing Research Analysts Conflicts of Interest
Wednesday, June 26, 2002
Notice to Members 03-44
SEC Approves Amendments to Rules Governing Research Analysts' Conflicts of Interest
Sunday, August 03, 2003
Notice to Members 04-18
NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest
Tuesday, March 09, 2004