January | February | March | June | September | October | November | December

December 2007

Regulatory Notices

07-64 SEC approves amendments to NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports Effective Date: December 19, 2007 Posted on: 12/19/2007

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. Posted on: 12/7/2007

November 2007

Regulatory Notices

07-53 SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions Effective Date: May 5, 2008 Posted on: 11/6/2007

October 2007

Regulatory Notices

07-51 Amendments to NASD IM-9216 to include certain NYSE Rules under the Minor Rule Violation Plan Effective Date: September 24, 2007 Posted on: 10/30/2007

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 Posted on: 10/5/2007

September 2007

Regulatory Notices

07-43 FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers Posted on: 9/10/2007

June 2007

07-30 NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications; Comment Period Expired July 13, 2007 Posted on: 6/14/2007

07-29 SEC Approves Rule 2342 Setting Forth Requirements for Providing SIPC Information to Customers; Effective Date: November 6, 2007 Posted on: 6/8/2007

07-27 NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings; Comment Period Expired July 20, 2007 Posted on: 6/5/2007

March 2007

07-14 Portfolio Margin Risk Disclosure Statement and Written Acknowledgement to be Furnished to Customers Using a Portfolio Margin Account Posted on: 3/19/2007

February 2007

07-12 NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE; The comment period was extended to April 9, 2007. Comment Period Expired March 26, 2007 Posted on: 2/22/2007

January 2007

07-04 Codification of Interpretations to Rule 2711; Implementation Date: September 27, 2006 Posted on: 1/24/2007

07-02 SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD's Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com; The effective date has been extended to October 31, 2007. Effective Date: July 7, 2007 Posted on: 1/8/2007