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 07-35 | 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Notice 07-33 has been superseded by Notice 07-38 |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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| Notice to Members 06-17 | NASD Extends Compliance Date for Recent Amendments to NASD's Order Audit Trail System Rules
Compliance Date: July 10, 2006
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| Notice to Members 06-04 | SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance
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| Notice to Members FYI December 2005 | For Your Information
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| Notice to Members 05-79 | Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees
Implementation Date: January 1, 2006
This version corrects the Series 22 (Direct Participation Programs Representative) Fee. |
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| Notice to Members 05-43 | NASD Announces Nomination Procedures for Regional Industry Member Vacancies on the National Adjudicatory Council
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| Notice to Members 05-42 | NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
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| Notice to Members 05-41 | Important Information Regarding the Suspension of Trading in the Securities of Gluv Corp.1
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| Notice to Members 05-39 | NASD Suggests Best Practices for Fingerprinting Procedures
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| Notice to Members 05-38 | NASD Reminds Broker-Dealers of Their Responsibilities Regarding Deficits in Introduced Accounts
Immediate Action May Be Required to Ensure Compliance
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| Notice to Members 05-37 | NASD Restructures Certain TRACE Fees for Market Data and Amends the Definition of "Non-Professional" in Connection with TRACE Market Data
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| Notice to Members 05-40 | NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities Comment Period Expired August 5, 2005
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| Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
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| Notice to Members 05-26 | NASD Recommends Best Practices for Reviewing New Products
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| Notice to Members 05-24 | NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports
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| Notice to Members 05-23 | NASD Issues Further Guidance on the Trading Activity Fee
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| Notice to Members 05-19 | Revisions to the Series 11 and 55 Examination Programs
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| Notice to Members 05-14 | NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
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| Notice to Members 05-13 | NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87)
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| Notice to Members 05-12 | SEC Approves Amendments to Rule 9522 Regarding Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
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| Notice to Members FYI December 2004 | For Your Information
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| Notice to Members 04-95 | NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal Securities
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| Notice to Members 04-93 | Issues Relating to the SEC's Adoption of Regulation SHO
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| Notice to Members 04-94 | Nominees for the District Committee for District 10
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| Notice to Members 04-92 | Amendments to Section 13 of Schedule A to the NASD By-Laws Governing the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed with or Submitted to NASD
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| Notice to Members 04-91 | NASD Has Filed for Immediate Effectiveness Amendments to Section 7 of Schedule A to the NASD By-Laws Governing Fees for Filing Documents Pursuant to the Corporate Financing Rule
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| Notice to Members 04-90 | NASD Issues Interpretive Guidance Regarding Various Trade Reporting and Compliance Engine (TRACE) Rules
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| Notice to Members 04-89 | NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
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| Notice to Members 04-88 | NASD Notice of Meeting and Proxy
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