2009 Advertising Regulation-Related Notices

Use the Advertising Regulation-Related Notices Subject Index to locate a Notice by topic, or browse Notices by date below.

February | March | May | June | July | August | September | October | December

December 2009

Regulatory Notices
09-73 FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
Posted on: 12/17/2009
Information Notices
12/29/2009 December 2009 Supplement to the Options Disclosure Document
Posted on: 12/29/2009

October 2009

Regulatory Notices
09-60 SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 3310): December 14, 2009
Effective Date (FINRA Rule 3310): January 1, 2010
Posted on: 10/15/2009

September 2009

Regulatory Notices
09-55 FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Comment Period Expired: November 20, 2009
Posted on: 9/21/2009

August 2009

Regulatory Notices
09-50 SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date (FINRA Rule 2320): October 19, 2009
Effective Date (Repeal of Incorporated NYSE Rules 134 and 440I): August 17, 2009
Posted on: 8/17/2009

July 2009

Regulatory Notices
09-42 FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
Posted on: 7/30/2009

June 2009

Regulatory Notices
09-34 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Comment Period Expired: August 3, 2009
Posted on: 6/17/2009
09-32 SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
Effective Date: February 8, 2010
Posted on: 6/11/2009
09-31 FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
Posted on: 6/11/2009

May 2009

Regulatory Notices
09-28 FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
Posted on: 5/27/2009

March 2009

Regulatory Notices
09-17 FINRA Provides Guidance on its Enforcement Process
Posted on: 3/18/2009

February 2009

Regulatory Notices
09-10 SEC Approves Rule Relating to Supervision of Market Letters
This Notice was updated to add Attachment A (the amended rule text).
Effective Date: February 5, 2009