Regulatory Notices Related to Financial and Operational Rules

14-12 FINRA Announces Updates of the Interpretations of Financial and Operational Rules

Posted on: 3/24/14

14-06 FINRA Announces Updates of the Interpretations of Financial and Operational Rules

Posted on: 2/7/14

13-44 FINRA Announces Updates of the Interpretations of Financial and Operational Rules

Posted on: 12/23/13

13-41 eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants

Posted on: 12/19/2013

13-10 SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items

Posted on: 3/4/2013

13-05 FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions

Posted on: 1/24/2013

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
Posted on: 11/4/08

08-60 FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds  

Effective Date: October 21, 2008
Posted on: 10/21/08

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
Posted on: 5/14/08

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