2009 Advertising Regulation-Related Notices

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

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: 5/27/09
 

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

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