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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| Trade Reporting Notice - 2/24/09 | FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
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| Election Notice - 2/23/09 | Nominees for the District Committees and District Nominating Committees
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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 09-11 | 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 09-02 | 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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| 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 08-80 | 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 08-78 | 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 08-71 | 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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