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 07-65 | FINRA Amends NYSE Rule 409(f) (Statements of Accounts to Customers) to Eliminate the Requirement to Include the Name of the Securities Market on which a Transaction is Effected
Effective Date: January 1, 2008
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| Information Notice - 12/20/07 | 2008 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Information Notice - 12/20/07 | 2007-2008 Filing Due Dates
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| Election Notice - 12/14/07 | Small Firm Advisory Board Election and Ballots
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| Regulatory Notice 07-63 | FINRA Adopts Rule Amendments Relating to Reporting of Odd-Lot Transactions
Effective Date: March 3, 2008
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| Regulatory Notice 07-62 | Revisions to the Series 23, 24, 42, 55, 62, 72 and 82 Examination Programs
Implementation Date: February 12, 2008
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| Regulatory Notice 07-61 | SEC Approves Exemption from TRACE Reporting Requirements for Certain "Derivative-Related Transactions"
Effective Date: December 13, 2007
Notice 07-61 supersedes NTM 05-77 |
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| Regulatory Notice 07-60 | FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays
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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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