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FINRA Utility Menu

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For Industry Professionals

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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  1. Rules & Guidance
  2. Notices
EXPLORE THIS SECTION

FINRA Main Navigation

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Notices
  • Regulatory Notice 11-49
    FINRA Provides Guidance on Advertising Regulation Issues
    Thursday, October 27, 2011
  • Regulatory Notice 10-53
    Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
    Tuesday, October 26, 2010
  • Regulatory Notice 09-31
    FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
    Thursday, June 11, 2009
  • Regulatory Notice 09-34
    FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
    Wednesday, June 17, 2009
  • Regulatory Notice 09-53
    Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
    Monday, August 31, 2009

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