Notices

Regulatory Notice 24-09
Regulatory Obligations When Using Generative Artificial Intelligence and Large Language Models
Thursday, June 27, 2024
Regulatory Notice 21-29
FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
Friday, August 13, 2021
Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Wednesday, December 16, 2020
Regulatory Notice 20-16
FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic
Thursday, May 28, 2020
Regulatory Notice 18-15
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
Monday, April 30, 2018
Regulatory Notice 17-38
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
Monday, November 13, 2017
Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Tuesday, April 25, 2017
Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Tuesday, September 08, 2015
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 11-39
Guidance on Social Networking Websites and Business Communications
Thursday, August 18, 2011
Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Friday, November 11, 2011
Regulatory Notice 11-14
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Tuesday, March 29, 2011
Regulatory Notice 10-19
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Thursday, April 08, 2010
Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Monday, January 25, 2010
Regulatory Notice 09-34
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Wednesday, June 17, 2009
Regulatory Notice 09-50
SEC Approval and Effective Date for New Consolidated FINRA Rules
Monday, August 17, 2009
Regulatory Notice 09-55
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Monday, September 21, 2009
Regulatory Notice 09-10
SEC Approves Rule Relating to Supervision of Market Letters
Thursday, February 05, 2009
Regulatory Notice 08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Wednesday, May 14, 2008
Regulatory Notice 08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
Tuesday, May 20, 2008
Regulatory Notice 08-18
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
Tuesday, April 08, 2008
Notice to Members 07-12
NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE;
Thursday, February 22, 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 07-32
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