Notices

Regulatory Notice 22-11
FINRA Reminds Firms of Their Sales Practice Obligations for Alternative Mutual Funds
Tuesday, April 19, 2022
Regulatory Notice 21-07
FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
Thursday, March 04, 2021
Regulatory Notice 12-02
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Friday, January 13, 2012
Regulatory Notice 11-49
FINRA Provides Guidance on Advertising Regulation Issues
Thursday, October 27, 2011
Regulatory Notice 08-58
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Friday, October 17, 2008
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 06-48
SEC Approves Amendments to NASD Rules 2210 and 2211 to Require Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material;
Friday, September 01, 2006
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 06-05
SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings
Friday, January 20, 2006
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 05-04
SEC Approves Amendments to NASD Rule 2830(k) to Strengthen Prohibitions on Investment Company Directed Brokerage Arrangements
Friday, January 14, 2005
Notice to Members 98-107
NASD Reminds Members of Their Obligations to Disclose Mutual Fund Fees
Tuesday, December 01, 1998
Notice to Members 98-75
SEC Approves Rule Change Relating to Non-Cash Compensation for Mutual Funds and Variable Products
Tuesday, September 01, 1998
Notice to Members 00-21
NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
Monday, April 10, 2000
Notice to Members 00-53
NASD Adopts Exemption From The Corporate Financing Rule for Interval Funds;
Thursday, August 10, 2000
Notice to Members 03-48
SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
Thursday, August 28, 2003
Notice to Members 03-47
Refunds to Customers Who Did Not Receive Appropriate Breakpoint Discounts in Connection with the Purchase of Class A Shares of Front-End Load Mutual Funds and the Capital Treatment of Refund Liability
Monday, August 25, 2003
Notice to Members 03-50
NASD Reminds Member Firms of their Obligations Regarding Mutual Fund Transactions and Directs Review of Policies and Procedures
Friday, September 05, 2003
Notice to Members 04-30
NASD Reminds Firms of Sales Practice Obligations In Sale of Bonds and Bond Funds
Tuesday, April 13, 2004
Notice to Members 04-26
NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
Tuesday, March 30, 2004
Notice to Members 02-85
NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
Monday, December 23, 2002
Notice to Members 03-77
Disclosure of Mutual Fund Expense Ratios in Performance Advertising: NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
Tuesday, December 09, 2003