Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Regulatory Notice 09-66 | SEC Approves Changes to FINRA's BrokerCheck Disclosure Rule to Retain and Make Publicly Available Information About Final Regulatory Actions Against Former Brokers
Effective Date: November 30, 2009
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| Regulatory Notice 09-65 | FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs
New Effective Date: April 30, 2010
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| Regulatory Notice 09-64 | Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
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| Regulatory Notice 09-63 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Comment Period Expires: December 28, 2009
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| Information Notice 11/09/09 | Changes to the S101 and S106 Regulatory Element Continuing Education Programs
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| Regulatory Notice 09-62 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Payment Deadline: December 11, 2009
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| Regulatory Notice 09-61 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 10/23/09 | Continuing Education Planning
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| Election Notice - 10/23/09 | Notice of SFAB Election and Ballots
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| Regulatory Notice 09-60 | SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 3310): December 14, 2009 Effective Date (FINRA Rule 3310): January 1, 2010
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| Regulatory Notice 09-59 | FINRA Provides Guidance on Pandemic Preparedness
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| Regulatory Notice 09-58 | SEC Approves Amendments Regarding Best Execution and Interpositioning
Effective Date: September 8, 2009
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| Information Notice 10/2/09 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Information Notice 9/29/09 | Publication of Daily and Monthly Short Sale Reports on the FINRA Web Site
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| Regulatory Notice 09-56 | Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
Effective Date: Upon SEC Approval With an Implementation Date of January 1, 2010
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| Regulatory Notice 09-55 | FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Comment Period Expires: November 20, 2009
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| Election Notice - 9/18/09 | FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
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| Regulatory Notice 09-54 | SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Effective Date: March 1, 2010
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| Election Notice - 9/4/09 | FINRA Small Firm Advisory Board Election
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| Regulatory Notice 09-53 | Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Effective Date: December 1, 2009
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| Regulatory Notice 09-52 | SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
Effective Date: January 11, 2010
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| Regulatory Notice 09-51 | SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
Effective Date: September 21, 2009
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| Regulatory Notice 09-50 | SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date (FINRA Rule 2320): October 19, 2009; Effective Date (Repeal of Incorporated NYSE Rules 134 and 440I): August 17, 2009
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| Regulatory Notice 09-49 | SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Effective Date: September 14, 2009
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| Regulatory Notice 09-48 | SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
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| Regulatory Notice 09-47 | New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
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| Regulatory Notice 09-46 | FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
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| Regulatory Notice 09-45 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
Comment Period Expires: September 18, 2009
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| Regulatory Notice 09-44 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Comment Period Expires: September 14, 2009
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| Regulatory Notice 09-43 | SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Effective Date: August 31, 2009
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| Regulatory Notice 09-42 | FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
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| Regulatory Notice 09-41 | SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
Effective Date: November 2, 2009
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| Regulatory Notice 09-40 | SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures
Effective Date (FINRA Rule 1010): July 27, 2009; Effective Date (FINRA Rule 2263): September 25, 2009
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| Regulatory Notice 09-39 | SEC Approves Changes to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
Effective Date: August 20, 2009
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| Election Notice - 7/20/09 | FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
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| Regulatory Notice 09-38 | Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program
Effective Date: July 15, 2009
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| Regulatory Notice 09-37 | Trading in Motors Liquidation Company (Formerly Known as General Motors Corporation)
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| Regulatory Notice 09-36 | SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Effective Date: August 10, 2009
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| Information Notice - 7/1/09 | New FTC Red Flags Rule Template
Note: FTC's Red Flags Rule Enforcement began Jan 1, 2011. On July 21, 2011, the Dodd-Frank Act transferred responsibility for identity theft red flag rules and guidelines to the SEC and CFTC for the entities they regulate. On February 28, 2012, the SEC and CFTC jointly proposed for comment red flag rules and guidelines that are substantially similar to the FTC’s and do not propose new requirements or cover new entities. The comment period closed May 7, 2012. |
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| Regulatory Notice 09-35 | FINRA Recommends Review of Municipal Securities Activities
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