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2008 Advertising Regulation-Related Notices
Use the Advertising Regulation-Related Notices Subject Index to locate a Notice by topic, or browse Notices by date below.
| March | April | May | June | July | August | September | October | November | December |
December 2008 |
| Regulatory Notices |
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08-82
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
Posted on: 12/16/2008
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08-81
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
Posted on: 12/16/2008
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08-77
Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
Posted on: 12/12/2008
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08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
Effective Date: March 4, 2009
Posted on: 12/5/2008
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November 2008 |
| Regulatory Notices |
|
08-66
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Posted on: 11/4/2008
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October 2008 |
| Regulatory Notices |
|
08-58
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Posted on: 10/17/2008
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08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Comment Period Expired: November 14, 2008
Posted on: 10/14/2008
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September 2008 |
| Regulatory Notices |
|
08-48
Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
Posted on: 9/18/2008
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August 2008 |
| Information Notices |
|
8/26/2008
June 2008 Supplement to the Options Disclosure Document
Posted on: 8/26/2008
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July 2008 |
| Regulatory Notices |
|
08-39
FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expired: September 30, 2008
Posted on: 7/28/2008
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08-35
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Effective Date: August 6, 2008
Posted on: 7/7/2008
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June 2008 |
| Regulatory Notices |
|
08-30
Guidance Relating to Illiquid Investments
Posted on: 6/12/2008
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May 2008 |
| Regulatory Notices |
|
08-28
SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
Effective Date: June 23, 2008
Posted on: 5/22/2008
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08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
Posted on: 5/20/2008
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08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expired: June 13, 2008
Posted on: 5/14/2008
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April 2008 |
| Regulatory Notices |
|
08-21
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
Posted on: 4/30/2008
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08-16
Member Firm Disclosure and Supervisory Review Obligations
Effective Date: April 7, 2008
Posted on: 4/7/2008
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08-15
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination
Effective Date: April 7, 2008
Posted on: 4/7/2008
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March 2008 |
| Regulatory Notices |
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08-12
SEC Approves Amendment to NASD Rule 2210 to Create an Exception to the Principal Approval Requirements for Certain Filed Sales Material
Effective Date: March 26, 2008
Posted on: 3/26/2008
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