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 08-64 | Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication Effective Date: November 11, 2008
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| Information Notice - 10/31/08 | Continuing Education Planning
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| Regulatory Notice 08-63 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Regulatory Notice 08-62 | SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
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| Election Notice - 10/24/08 | FINRA Notice of Special Meeting of Small Firms and Proxy
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| Regulatory Notice 08-61 | Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
Proposed Implementation Date: January 2, 2009
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| Information Notice - 10/22/08 | FINRA Survey to Update the Series 7 Exam
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| Regulatory Notice 08-60 | FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds Effective Date: October 21, 2008
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| Information Notice - 10/21/08 | New Account Application Template
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| Regulatory Notice 08-59 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009 Payment Deadline: December 12, 2008
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| Regulatory Notice 08-58 | Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
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| Regulatory Notice 08-57 | FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Effective Date: December 15, 2008
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| Regulatory Notice 08-56 | FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
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| Regulatory Notice 08-55 | FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules Comment Period Expired: November 14, 2008
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| Regulatory Notice 08-54 | Guidance on Special Purpose Acquisition Companies
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| Election Notice - 10/10/08 | Election Notice - 10/10/08
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| Regulatory Notice 08-53 | FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests Effective Date: April 1, 2009
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| Information Notice - 10/6/08 | Effective Dates of New Consolidated Rules; Introduction of Rule Conversion Chart
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| Regulatory Notice 08-52 | SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
This Notice was updated to add new endnote 6. |
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| Regulatory Notice 08-51 | SEC Approves Amendments to FINRA's Transaction Reporting Rules to Require Prompt Last Sale Reporting of Transactions in Foreign Securities Effective Date: October 27, 2008
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| Regulatory Notice 08-50 | Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
Please note that under the requirements of the SEC's interim final temporary rule, a market maker is no longer required to attest in writing that the fail to deliver position at issue was established solely for the purpose of meeting its bona fide market making obligations. However, as with any exception, a broker-dealer would have to evidence eligibility for, and compliance with, the requirements of this exception. See Securities Exchange Act Release No. 58773 (October 14, 2008) at fn 84. |
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| Regulatory Notice 08-49 | FINRA Announces Effective Date for Expansion of NASD IM-2110-2 to OTC Equity Securities and Revised Minimum Price-Improvement Standards in IM-2110-2 Effective Date: November 11, 2008
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| Regulatory Notice 08-48 | Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
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| Regulatory Notice 08-47 | Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
Effective Date: October 1, 2008
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| Information Notice - 9/15/08 | Loose-Leaf FINRA Manual Subscription
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| Regulatory Notice 08-46 | Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
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| Election Notice - 8/26/08 | Nominee for Vacant FINRA Board of Governors Small Firm Seat
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| Information Notice - 8/26/08 | June 2008 Supplement to the Options Disclosure Document
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| Regulatory Notice 08-45 | FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
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| Regulatory Notice 08-44 | SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Effective Date: September 22, 2008
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| Regulatory Notice 08-43 | SEC Approves Expanding Disseminated Real-Time TRACE Data
Effective Date: November 3, 2008
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| Regulatory Notice 08-42 | Guidance on Transactions in TRACE-Eligible Securities Under SEC Rule 144
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| Trade Reporting Notice - 8/14/08 | Trade Reporting Frequently Asked Questions
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| Regulatory Notice 08-40 | Technology Changes for Reporting Certain Complaint and Disclosure Information
Effective Date: October 20, 2008
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| Regulatory Notice 08-39 | FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expires: September 30, 2008
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| Trade Reporting Notice - 7/28/08 | FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
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| Regulatory Notice 08-38 | FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
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| Regulatory Notice 08-37 | FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
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| Regulatory Notice 08-36 | SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions Effective Date: June 13, 2008
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| Regulatory Notice 08-35 | SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Effective Date: August 6, 2008
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