Notices

Regulatory Notice 21-03
FINRA Urges Firms to Review Their Policies and Procedures Relating to Red Flags of Potential Securities Fraud Involving Low-Priced Securities
Wednesday, February 10, 2021
Regulatory Notice 20-13
FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
Tuesday, May 05, 2020
Regulatory Notice 19-18
FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
Monday, May 06, 2019
Regulatory Notice 18-36
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Friday, October 19, 2018
Regulatory Notice 18-19
FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Thursday, May 03, 2018
Regulatory Notice 17-40
FINRA Provides Guidance to Firms Regarding Anti-Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
Tuesday, November 21, 2017
Regulatory Notice 12-08
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
Friday, February 10, 2012
Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Thursday, October 15, 2009
Notice to Members 07-17
NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
Wednesday, April 18, 2007
Notice to Members 06-41
Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
Monday, August 14, 2006
Notice to Members 06-07
SEC Approves Amendments to Anti-Money Laundering Compliance Program Rule and Adoption of Interpretive Material
Friday, February 10, 2006
Notice to Members 02-21
NASD Provides Guidance to Member Firms Concerning Anti-Money Laundering Compliance Programs Required by Federal Law
Wednesday, April 10, 2002
Notice to Members 01-67
Executive Order Targeting Terrorists
Wednesday, October 10, 2001
Notice to Members 02-80
Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
Monday, December 02, 2002
Notice to Members 02-78
NASD Adopts Amendments to Rule 3011 to Require Members to Provide to NASD Contact Information for an Anti-Money Laundering Compliance Person(s)
Thursday, October 31, 2002
Notice to Members 02-50
Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements;
Tuesday, August 13, 2002
Notice to Members 02-47
Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers;
Monday, August 12, 2002
Notice to Members 03-34
Treasury and SEC Issue Final Rule Regarding Customer Identification Programs for Broker/Dealers
Friday, June 20, 2003