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July 2009

Information Notices

7/1/09 New FTC Red Flags Rule Template Posted on: 7/1/09

June 2009

Regulatory Notices

09-35 FINRA Recommends Review of Municipal Securities Activities Posted on: 6/30/09

09-34 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities Comment Period Expires: August 3, 2009 Posted on: 6/17/09

09-33 SEC Approval and Effective Date for New Consolidated FINRA Rules Effective Date: August 17, 2009 Posted on: 6/15/09

09-32 SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities Effective Date: February 8, 2010 Posted on: 6/11/09

09-31 FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds Posted on: 6/11/09

09-30 SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps Effective Date: June 3, 2009 Posted on: 6/3/09

09-29 FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors Comment Period Expires: July 16, 2009 Posted on: 6/1/09

Disciplinary and Other FINRA Actions Posted on: 6/15/09

May 2009

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Regulatory Notices

09-28 FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest Posted on: 5/27/09

09-27 SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity Effective Date: June 17, 2009 Posted on: 5/18/09

09-26 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update Posted on: 5/19/09

09-25 Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations Comment Period Expired: June 29, 2009 Posted on: 5/15/09

09-24 SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security" Effective Date: June 15, 2009 Posted on: 5/15/09

09-23 SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure) Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009 Posted on: 5/15/09

Election Notices

5/15/09 Notice of Special Meeting of Large Firms and Proxy Posted on: 5/15/09

Information Notices

5/20/09 Continuing Education Planning Posted on: 5/20/09

Disciplinary and Other FINRA Actions Posted on: 5/15/09

April 2009

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Regulatory Notices

09-22 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons Comment Period Expired: June 5, 2009 Posted on: 4/21/09

09-21 FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions Effective Date: May 4, 2009 Posted on: 4/15/09

09-20 SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination Effective Date: June 15, 2009 Posted on: 4/15/09

09-19 Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications Effective Date: June 15, 2009 Posted on: 4/9/09

Information Notices

4/29/09 Use of FINRA Logo Posted on: 4/29/09

Disciplinary and Other FINRA Actions Posted on: 4/15/09

March 2009

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Regulatory Notices

09-18 EBS Submissions Following Implementation of the Option Symbology Initiative Posted on: 3/30/09

09-17 FINRA Provides Guidance on its Enforcement Process Posted on: 3/18/09

09-16 SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request Effective Date: April 13, 2009

09-15 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection Comment Period Expired: April 24, 2009 Posted on: 3/12/09

09-14 SEC Approves Alternative Means for Calculating the Minimum Price-Improvement Obligations Under Certain Circumstances Effective Date: February 11, 2009 Posted on: 3/3/09

Election Notices

3/27/09 Nominees for Vacant FINRA Board of Governors Large Firm Seats Posted on: 3/27/09

3/24/09 FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council Posted on: 3/24/09

Information Notices

3/16/09 New Rate for Fees Paid Under Section 31 of the Exchange Act Effective Date: April 10, 2009 Posted on: 3/16/09

Disciplinary and Other FINRA Actions Posted on: 3/16/09

February 2009

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Regulatory Notices

09-13 SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000 Effective Date: March 30, 2009 Posted on: 2/27/09

09-12 Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities Posted on: 2/18/09

09-11 SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports Effective Date: April 20, 2009 Posted on: 2/17/09

09-10 SEC Approves Rule Relating to Supervision of Market Letters This Notice was updated to add Attachment A (the amended rule text). Effective Date: February 5, 2009

09-09 Customer Account Statements and Due Diligence Requirements for Unlisted Real Estate Investment Trusts (REITs) and Direct Participation Programs (DPPs) Posted on: 2/4/09

Election Notices

2/23/09 Nominees for the District Committees and District Nominating Committees Posted on: 2/23/09

2/5/09 Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat Posted on: 2/5/09

Trade Reporting Notices

2/24/09 FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS Effective Date: July 1, 2009 Posted on: 2/24/09

Disciplinary and Other FINRA Actions Posted on: 2/16/09

January 2009

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Regulatory Notices

09-08 SEC Approves Amendments to FINRA Trade Reporting Rules Effective Date: August 3, 2009 Posted on: 1/23/09

09-07 SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration FINRA Imposes Immediate 30-Day Moratorium on Motions to Dismiss; Effective January 23, 2009 Posted on: 1/23/09

09-06 FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex Comment Period Expired: February 20, 2009 Posted on: 1/21/09

09-05 FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale Posted on: 1/13/09

09-04 SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes Effective Date: February 9, 2009 Posted on: 1/9/09

09-03 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements Comment Period Expired: 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 Comment Period Expired: 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 Payment Deadline: February 4, 2009 Posted on: 1/6/09

Election Notices

1/2/09 Upcoming District Committee and District Nominating Committee Elections This Notice was updated to note that the District 10 Nominating Committee Chair is Vacant. Posted on: 1/2/09

Information Notices

1/8/09 Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008 Posted on: 1/8/09

Disciplinary and Other FINRA Actions Posted on: 1/15/09