Regulation
Regulatory Notices Related to Financial and Operational Rules
12-58 SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities Posted on: 12/27/12 |
12-54 Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays Posted on: 12/7/12 |
12-23 FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Comment Period Expired: 6/4/12 Posted on: 5/4/12 |
12-11 SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report Posted on: 2/28/12 |
11-48 FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location Comment Period Expired: 12/9/11 Posted on: 10/21/11 |
11-46 FINRA to Require Electronic Submission of Annual Audit Reports Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011. Posted on: 10/3/11 |
11-38 Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s Posted on: 8/8/11 |
11-33 SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule The implementation schedule for non-Day-One Professionals described in this Notice was revised by SR-FINRA-2011-060. Further information on the revised implementation schedule is available in the Operations Professional FAQ. Effective Date: 10/17/11 Posted on: 7/22/11 |
11-26 SEC Approves Consolidated Financial Responsibility and Related Operational Rules Effective Date: 8/1/11 Posted on: 5/27/11 |
11/21 SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds Effective Date: 1/1/12 Posted on: 5/5/11 |
11-14 FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider Comment Period Expired: 5/13/11 Posted on: 3/29/11 |
10-61 SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution Posted on: 12/3/10 |
10-57 Funding and Liquidity Risk Management Practices Posted on: 11/1/10 |
10-46 Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants Posted on: 10/4/10 |
10-44 New Alert-Reporting Criterion for Leverage in FOCUS Reports Posted on: 9/22/10 |
10-33 FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA Posted on: 7/19/10 |
10-21 SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules Posted on: 4/15/10 |
10-19 FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports Posted on: 4/8/10 |
10-18 FINRA Issues Guidance on Master and Sub-Account Arrangements Posted on: 4/6/10 |
10-15 FINRA Requirements for Subordinations; Availability of New Standard Forms Posted on: 3/30/10 |
10-12 Guidance on FAS 167 for FOCUS Reporting Posted on: 2/19/10 |
10-03 FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities Posted on: 1/5/10 |
09-71 SEC Approves Consolidated FINRA Rules Governing Financial Responsibility Posted on: 12/7/09 |
09-44 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds Posted on: 7/31/09 |
09-38 Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Posted on: 7/15/09 |
09-03 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements Posted on: 1/6/09 |
08-66 FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities Posted on: 11/4/08 |
08-65 FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities Effective Date: November 4, 2008 |
08-60 FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds Effective Date: October 21, 2008 |
08-56 FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records Posted on: 10/15/08 |
08-46 Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers’ Clearing Deposits Posted on: 9/5/08 |
08-38 FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling Posted on: 7/23/08 |
08-23 Proposed Consolidated FINRA Rules Governing Financial Responsibility Comment Period Expired: June 13, 2008 |
08-08 FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products Effective Date: March 6, 2008 Posted on: 3/5/08 |
07-60 FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays Posted on: 12/11/07 |
07-58 FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices Comment Period Expired: January 10, 2008 Posted on: 11/26/07 |