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October 2010

Regulatory Notices

10-52 Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses Posted on: 10/21/2010

10-51 Sales Practice Obligations for Commodity Futures-Linked Securities Posted on: 10/20/2010

September 2010

Regulatory Notices

10-41 FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market Posted on: 9/20/2010

Information Notices

9/7/2010 August 2010 Supplement to the Security Futures Risk Disclosure Statement Effective Date: October 7, 2010 Posted on: 9/7/2010

June 2010

Information Notices

6/15/2010 May 2010 Supplement to the Options Disclosure Document Posted on: 6/15/2010

April 2010

Regulatory Notices

10-22 Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings Posted on: 4/20/2010

10-19 FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports Posted on: 4/8/2010

February 2010

Regulatory Notices

10-09 FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles) Posted on: 2/12/2010

January 2010

Regulatory Notices

10-06 Guidance on Blogs and Social Networking Web Sites Posted on: 1/25/2010

10-05 FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities Posted on: 1/21/2010