Industry Issues
- Advertising
- Anti-Money Laundering
- Books & Records
- Breakpoints
- Business Continuity Planning
- College Savings Plans
- Consolidated Audit Trail
- Crowdfunding
- Customer Information Protection
- Mergers Acquisitions and Business Transfers
- Mutual Funds
- Research Analyst Rules
- Security Futures
- Senior Investors
- Suitability
- Supervisory Control
- Variable Annuities
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
|