Regulatory Notice 08-74

FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M; Effective Date: December 15, 2008

Executive Summary

FINRA is issuing this Notice to provide additional information and guidance on the new FINRA Rules governing notification requirements and marketplace-specific rules relating to Regulation M under the Securities Exchange Act of 1934.¹ As announced in Regulatory Notice 08-57, the FINRA Rules become effective December 15, 2008.

 

The text of the amendments is set forth in Attachment A of this Notice. The forms firms must use to notify FINRA under the amendments are provided in Attachment B of this Notice and are available (along with any updates) online at www.finra.org/RegM.

 

1 17 CFR §242.100 to 105.

• Regulation M Filings