Notices

Regulatory Notice 08-57
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules
Thursday, October 16, 2008
Regulatory Notice 08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Wednesday, May 14, 2008
Regulatory Notice 07-50
SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
Monday, October 29, 2007
Regulatory Notice 07-55
FINRA Reminds Member Firms of Their Obligations Regarding Background Investigations of Prospective Personnel
Wednesday, November 14, 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
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 05-26
NASD Recommends Best Practices for Reviewing New Products
Wednesday, April 06, 2005
Notice to Members 05-49
NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
Thursday, July 28, 2005
Notice to Members 04-72
Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
Tuesday, October 05, 2004
Notice to Members 04-79
SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements
Sunday, October 31, 2004
Notice to Members 01-66
SEC Approves NASD Rule Proposal Relating to Operations
Wednesday, October 10, 2001
Notice to Members 02-57
Use of Negative Response Letters for the Bulk Transfer of Customer Accounts
Wednesday, September 11, 2002
Notice to Members 04-37
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Wednesday, May 05, 2004