Notices

Information Notice – 6/19/15
Distributed Denial of Service (DDoS) Attacks on Member Firms
Friday, June 19, 2015
Regulatory Notice 14-10
SEC Approves New Supervision Rules
Wednesday, March 19, 2014
Regulatory Notice 12-05
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
Thursday, January 26, 2012
Regulatory Notice 12-08
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
Friday, February 10, 2012
Regulatory Notice 09-64
Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
Friday, November 13, 2009
Notice to Members 07-29
SEC Approves Rule 2342 Setting Forth Requirements for Providing SIPC Information to Customers
Friday, June 08, 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 05-48
Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
Friday, July 22, 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 02-47
Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers;
Monday, August 12, 2002