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 07-59 | FINRA Provides Guidance Regarding the Review and Supervision of Electronic Communications
This Notice was updated on 12/13/07 to reflect non-substantive changes. |
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| Regulatory Notice 07-58 | FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Comment Period Expired: January 10, 2008
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| Information Notice 11/26/07 | Continuing Education Planning
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| Regulatory Notice 07-57 | SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Effective Date: December 24, 2007
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| Regulatory Notice 07-56 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Regulatory Notice 07-55 | FINRA Reminds Member Firms of Their Obligations Regarding Background Investigations of Prospective Personnel
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| Regulatory Notice 07-54 | SEC Approves New NASD Rule 2290 Regarding Fairness Opinions
Effective Date: December 8, 2007
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| Regulatory Notice 07-53 | SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions
Effective Date: May 5, 2008
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| Regulatory Notice 07-52 | Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
Effective Date: October 12, 2007
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| Election Notice - 11/1/07 | FINRA Small Firm Advisory Board Election
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| Regulatory Notice 07-51 | Amendments to NASD IM-9216 to include certain NYSE Rules under the Minor Rule Violation Plan Effective Date: September 24, 2007
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| Regulatory Notice 07-50 | SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
Effective Date: October 22, 2007
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| Regulatory Notice 07-49 | Guidance for Firms Affected by the California Wildfires
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| Regulatory Notice 07-48 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Payment Deadline: December 10, 2007
This Notice was changed on 10/15/07 to correct some non-substantive text and to amend the list of regulators that do not participate in the CRD Phase II Program to the American Stock Exchange, Chicago Stock Exchange, National Stock Exchange, NYSE Arca, Inc. and Philadelphia Stock Exchange. |
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| Regulatory Notice 07-47 | Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA
Effective Date: November 17, 2007
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| Information Notice - 10/5/07 | Extension of Current Rate for Fees Paid under Section 31 of the Exchange Act
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| Regulatory Notice 07-46 | FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
Comment Period Expires November 12, 2007
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| Election Notice - 9/26/07 | FINRA Notice of Meeting and Proxy
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| Regulatory Notice 07-45 | Amendments to NASD Rule 3210 to Conform with Amendments to the SEC's Regulation SHO Delivery Requirements
Effective Date: October 15, 2007
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| Information Notice - 9/20/07 | Fingerprint Processing Fees
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| Regulatory Notice 07-44 | That Authorizes FINRA to Establish a Temporary Program to Allow Firms to Voluntarily Remit Accumulated Funds
Reminder Concerning Proper Disclosure of the Section 3 Fee; Effective Date: December 11, 2007 Sunset Date: June 11, 2008
This Notice was updated on 10/4/07 to correct the ZIP code on p. 3. |
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| Regulatory Notice 07-43 | FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
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| Regulatory Notice 07-42 | SEC Approves NASD Rule 1160 Regarding Firm Contact Information
Effective Date: December 31, 2007
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| Regulatory Notice 07-41 | Member Firms are Reminded to Register with FINRA Associated Persons Who Also are Registered with Another SRO in a FINRA-Recognized Registration Category
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| Notice to Members 07-40 | SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
Effective Date: September 28, 2007
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| Regulatory Notice 07-39 | SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders Effective Date: February 4, 2008
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| Regulatory Notice 07-38 | FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades Revised Effective Date: November 5, 2007
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| Regulatory Notice 07-37 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Regulatory Notice 07-35 | Extension of Temporary Relief from NYSE Rule 409(f) (Statements of Accounts to Customers) to January 1, 2008
This Notice was updated on 12/13/07 to reflect non-substantive changes. |
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| Regulatory Notice 07-34 | SEC Approves Amendments Relating to the Issuer-Directed Provisions of Rule 2790
Effective Date: September 5, 2007
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| Regulatory Notice 07-33 | FINRA Adopts Rule Amendments Relating to Non-Tape (or Clearing-Only) Reports for Previously Executed Trades
(Including Step-outs, Reversals and Riskless Principal Transactions) Effective Date: September 4, 2007
Notice 07-33 has been superseded by Notice 07-38 |
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| Election Notice - 8/3/07 | Nominees for FINRA Board of Governors
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| Notice to Members 07-16 | Frequently Asked NASD Financial and Operational Questions
This version reflects changes to the answers to QA-2 and QB-8. |
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| Notice to Members 07-12 | NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE
Comment Period Expires April 9, 2007
The comment period was extended to April 9, 2007. |
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| Notice to Members 07-01 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
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| Notice to Members 06-74 | Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
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| Notice to Members FYI December 2006 | For Your Information
This version has been updated with more detailed information about each filing. |
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| Notice to Members 06-62 | SEC Approves Rule 3160 Regarding Submission and Reporting Requirements for Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Effective Date: March 1, 2007
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| Notice to Members 06-35 | Revisions to the Series 22, 27, 28, 39 and 55 Examination Programs
Implementation Date: August 15, 2006
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| Notice to Members 06-18 | SEC Division of Market Regulation Issues Interpretive Guidance Regarding Regulation SHO Close-Out Requirements
Effective Date: May 1, 2006
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