2009 Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.

 
January
 

January 2009
Regulatory Notices
09-03 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements New
Comment Period Expires: February 20, 2009
Posted on: 1/6/09
09-02 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements New
Comment Period Expires: February 20, 2009
Posted on: 1/6/09
09-01 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009 New
Payment Deadline: February 4, 2009
Posted on: 1/6/09
Election Notices
1/2/09 Upcoming District Committee and District Nominating Committee Elections New
Posted on: 1/2/09