2014 Advertising Regulation-Related Notices

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

 
March | April | July
 

July 2014

Regulatory Notices
14-30 SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses New
Effective Date: July 11, 2014
Posted on: 7/11/2014
 

April 2014

Regulatory Notices
14-19 FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Comment Period Expires: June 16, 2014
Posted on: 4/30/2014
14-14 FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
The comment period has been extended to May 23, 2014.
Comment Period Expires: May 8, 2014
Posted on: 4/8/2014
 

March 2014

Regulatory Notices
14-10 SEC Approves New Supervision Rules
4/3/14: The effective date for the deletion of Incorporated NYSE Rules 343 (Offices – Sole Tenancy, and Hours), 343.10 and NYSE Rule Interpretation 343(a)/01 has been changed to April 7, 2014, to correspond to the effective date of the revised Form BR (See Regulatory Notice 14-11).
Effective Date: December 1, 2014
Posted on: 3/19/2014