2012 Advertising Regulation-Related Notices

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

January | February | March | April | June | September | October

October 2012

Regulatory Notices
12-42 FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.
Comment Period Expired: December 20, 2012
Posted on: 10/11/2012

September 2012

Regulatory Notices
12-40 SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Effective Date: December 3, 2012
Posted on: 9/5/2012

June 2012

Regulatory Notices
12-32 Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business.
Effective Dates: July 2, 2012: Advertising and Corporate Financing fees; July 23, 2012: New and Continuing Membership Application fees; January 2, 2013: CRD and Branch Office Annual Reg. fees
Posted on: 6/26/2012
12-29 SEC Approves New Rules Governing Communications With the Public
Effective Date: February 4, 2013
Posted on: 6/14/2012

April 2012

Regulatory Notices
12-17 SEC Approves Consolidated Telemarketing Rule
Posted on: 4/2/2012

March 2012

Regulatory Notices
12-14 FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Comment Period Expired: April 11, 2012
Posted on: 3/7/2012

February 2012

Regulatory Notices
12-09 FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 2, 2012
Posted on: 2/17/2012
Information Notices
2/9/2012 January 2012 Supplement to the Options Disclosure Document
Posted on: 2/9/2012

January 2012

Regulatory Notices
12-03 Heightened Supervision of Complex Products
Posted on: 1/17/2012
12-02 FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Posted on: 1/13/2012