Regulatory Notices Related to Financial and Operational Rules

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