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 09-12 | Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
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| Regulatory Notice 09-11 | SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
Effective Date: April 20, 2009
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| Regulatory Notice 09-10 | SEC Approves Rule Relating to Supervision of Market Letters
Effective Date: February 5, 2009
This Notice was updated to add Attachment A (the amended rule text). |
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| Election Notice - 2/5/09 | Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
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| Regulatory Notice 09-09 | Customer Account Statements and Due Diligence Requirements for Unlisted Real Estate Investment Trusts (REITs) and Direct Participation Programs (DPPs)
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| Regulatory Notice 09-08 | SEC Approves Amendments to FINRA Trade Reporting Rules
Effective Date: August 3, 2009
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| Regulatory Notice 09-07 | SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
Effective Date: January 23, 2009
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| Regulatory Notice 09-06 | FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
Comment Period Expires: February 20, 2009
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| Regulatory Notice 09-05 | FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
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| Regulatory Notice 09-04 | SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
Effective Date: February 9, 2009
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| Information Notice - 1/8/09 | Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
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| Regulatory Notice 09-03 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
Comment Period Expires: February 20, 2009
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| Regulatory Notice 09-02 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
Comment Period Expires: February 20, 2009
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| Regulatory Notice 09-01 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
Payment Deadline: February 4, 2009
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| Election Notice - 1/2/09 | Upcoming District Committee and District Nominating Committee Elections
This Notice was updated to note that the District 10 Nominating Committee Chair is Vacant. |
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| Regulatory Notice 08-83 | FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
Comment Period Expires: February 6, 2009
The comment period was extended to February 27, 2009. |
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| Information Notice - 12/23/08 | 2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Regulatory Notice 08-82 | FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
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| Regulatory Notice 08-81 | FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
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| Regulatory Notice 08-80 | FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Comment Period Expires: January 29, 2009
The comment period was extended to February 27, 2009. |
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| Regulatory Notice 08-79 | SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
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| Regulatory Notice 08-78 | FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
Effective Date: February 17, 2009
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| Regulatory Notice 08-77 | Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
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| Regulatory Notice 08-76 | Technology Changes for Reporting Clearing Methods and Arrangements
Effective Date: December 15, 2008
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| Regulatory Notice 08-75 | Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
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| Regulatory Notice 08-74 | FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
Effective Date: December 15, 2008
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| Information Notice - 12/8/08 | Continuing Application of NASD Rules and Incorporated NYSE Rules
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| Election Notice - 12/8/08 | FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
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| Regulatory Notice 08-73 | SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications Effective Date: March 4, 2009
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| Regulatory Notice 08-72 | FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
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| Regulatory Notice 08-71 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Comment Period Expired: December 29, 2008
The comment period was extended to January 16, 2009. |
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| Regulatory Notice 08-70 | FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
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| Regulatory Notice 08-69 | Alert to Member Firms About the Federal Trade Commission's FACT Act Regulations and the Announcement of the FTC's Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
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| Election Notice - 11/21/08 | Notice of SFAB Election and Ballots
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| Regulatory Notice 08-68 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Comment Period Expires: December 18, 2008
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| Information Notice - 11/12/08 | September 2008 Supplement to the Options Disclosure Document
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| Regulatory Notice 08-67 | FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests Effective Date: January 16, 2009
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| Regulatory Notice 08-66 | FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
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| Regulatory Notice 08-65 | FINRA Grants Additional,Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, & Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities
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| Information Notice - 11/3/08 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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