2010 Advertising Regulation-Related Notices

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

 
January | February | April | June | September | October
 

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