2010 Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order, and you may view them by subject.

 
January | February | March | April | May | June | July | August | September | October | November | December
 

December 2010

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Regulatory Notices
10-62 SEC Approval and Effective Date for New Consolidated FINRA Rule
Effective Date: June 17, 2011
Posted on: 12/15/2010
10-61 SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
Effective Date: February 1, 2011
Posted on: 12/3/2010
Information Notices
12/14/2010 Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Posted on: 12/14/2010
12/2/2010 2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Posted on: 12/2/2010
Disciplinary and Other FINRA Actions
Posted on: 12/15/2010
 

November 2010

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Regulatory Notices
10-60 SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
Effective Date: May 27, 2011
Posted on: 11/29/2010
10-59 SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device
Effective Date: December 29, 2010
Posted on: 11/29/2010
10-58 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2011
Payment Deadline: December 13, 2010
Posted on: 11/3/2010
10-57 Funding and Liquidity Risk Management Practices
Posted on: 11/1/2010
Disciplinary and Other FINRA Actions
Posted on: 11/15/2010
 

October 2010

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Regulatory Notices
10-56 SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
Effective Date: November 1, 2010
Posted on: 10/29/2010
10-55 FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Effective Date: May 16, 2011
Posted on: 10/27/2010
10-54 FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Comment Period Expired: December 27, 2010
Posted on: 10/27/2010
10-53 Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Effective Date: October 26, 2010
Posted on: 10/26/2010
10-52 Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
Posted on: 10/21/2010
10-51 Sales Practice Obligations for Commodity Futures-Linked Securities
Posted on: 10/20/2010
10-50 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 10/15/2010
10-49 SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: December 15, 2010
Posted on: 10/15/2010
10-48 Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
The effective date was extended to February 28, 2011.
Effective Date: November 10, 2010
Posted on: 10/12/2010
10-47 SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Effective Date: February 8, 2011
Posted on: 10/11/2010
10-46 Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
Effective Date: FOCUS Report Due on November 23, 2010, Covering the October 2010 Reporting Period
Posted on: 10/4/2010
10-45 SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Effective Date: December 2, 2010
Posted on: 10/4/2010
Election Notices
10/21/2010 Notice of SFAB Election and Ballots
Posted on: 10/21/2010
Information Notices
10/15/2010 Continuing Education Planning
Posted on: 10/15/2010
10/8/2010 Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Posted on: 10/8/2010
Disciplinary and Other FINRA Actions
Posted on: 10/15/2010
 

September 2010

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Regulatory Notices
10-44 New Alert-Reporting Criterion for Leverage in FOCUS Reports
Posted on: 9/22/2010
10-43 Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
Effective Date: Amendments to Rule 11892 Became Effective September 10, 2010; Amendment to Rule 6121 Became Effective September 14, 2010
Posted on: 9/22/2010
10-42 SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
Effective Dates: FINRA Rules 6434, 6437 and 6450: February 11, 2011; FINRA Rule 6460 and NASD Rule 2320: May 9, 2011
Posted on: 9/20/2010
10-41 FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Posted on: 9/20/2010
10-40 Non-Party Witness’ Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
Posted on: 9/14/2010
10-39 Obligation to Provide Timely, Complete and Accurate Information on Form U5
Posted on: 9/8/2010
Election Notices
9/3/2010 FINRA Small Firm Advisory Board Election
Posted on: 9/3/2010
Trade Reporting Notices
9/17/2010 Price Validation and Price-Override Protocol
Posted on: 9/17/2010
Information Notices
9/7/2010 August 2010 Supplement to the Security Futures Risk Disclosure Statement
Effective Date: October 7, 2010
Posted on: 9/7/2010
Disciplinary and Other FINRA Actions
Posted on: 9/15/2010
 

August 2010

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Regulatory Notices
10-38 SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
Effective Date: September 27, 2010
Posted on: 8/27/2010
10-37 Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Effective Date: September 27, 2010
Posted on: 8/27/2010
10-36 Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
Effective Date: September 7, 2010
Posted on: 8/26/2010
10-35 SEC Approval and Effective Date for New Consolidated FINRA Rule
Effective Date: October 15, 2010
Posted on: 8/16/2010
Trade Reporting Notices
8/19/2010 Weighted-Average Price/Special Pricing Formula Trade Modifier
Posted on: 8/19/2010
Information Notices
8/3/2010 FINRA Reminds Firms of Upcoming Changes to BrokerCheck
Posted on: 8/3/2010
Disciplinary and Other FINRA Actions
Posted on: 8/16/2010
 

July 2010

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Regulatory Notices
10-34 SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
This Notice was updated to renumber the footnotes.
Effective Date-Historic Complaints and Dispute Process: August 23, 2010
Effective Date-Disclosure Period and Permanently Available Information: November 6, 2010
Posted on: 7/23/2010
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
Comment Period Expired: August 18, 2010
Posted on: 7/19/2010
10-32 SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
Posted on: 7/2/2010
Election Notices
7/30/2010 FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Posted on: 7/30/2010
7/12/2010 Notice of Annual Meeting of FINRA Firms and Proxy
Posted on: 7/12/2010
Disciplinary and Other FINRA Actions
Posted on: 7/15/2010
 

June 2010

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Regulatory Notices
10-31 Change to Expedited Proceedings for Failure to Comply with an Arbitration Award or Related Settlement
Effective Date: July 2, 2010
Posted on: 6/18/2010
10-30 SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility
Effective Date: June 10, 2010
Posted on: 6/17/2010
10-29 SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Effective Date: November 1, 2010
Posted on: 6/11/2010
10-28 New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
Effective Dates: August 23, 2010 (Phase I); November 8, 2010 (Phase II)
Posted on: 6/9/2010
10-27 Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
Effective Date: July 1, 2010
Posted on: 6/9/2010
Information Notices
6/15/2010 May 2010 Supplement to the Options Disclosure Document
Posted on: 6/15/2010
Disciplinary and Other FINRA Actions
Posted on: 6/15/2010
 

May 2010

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Regulatory Notices
10-26 SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
Effective Date: June 28, 2010
Posted on: 5/28/2010
10-25 FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
The comment period was extended to July 30, 2010.
Comment Period Expired: July 12, 2010
Posted on: 5/26/2010
Election Notices
5/4/2010 Nominees for FINRA Board of Governors
Posted on: 5/4/2010
Information Notices
5/26/2010 DTCC to Provide FINRA Access to Participant Position Reports
Posted on: 5/26/2010
Disciplinary and Other FINRA Actions
Posted on: 5/17/2010
 

April 2010

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Regulatory Notices
10-24 SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Effective Date: November 1, 2010
Posted on: 4/28/2010
10-23 SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
The new effective date for reporting asset-backed securities to TRACE is May 16, 2011. See Regulatory Notice 10-55.
Effective Date: February 14, 2011
Posted on: 4/23/2010
10-22 Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Posted on: 4/20/2010
10-21 SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Effective Date: June 14, 2010
Posted on: 4/15/2010
10-20 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 4/15/2010
10-19 FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Posted on: 4/8/2010
10-18 FINRA Issues Guidance on Master and Sub-Account Arrangements
Posted on: 4/6/2010
10-17 Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
Posted on: 4/1/2010
10-16 Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Effective Date: May 3, 2010
Posted on: 4/1/2010
Information Notices
4/20/2010 Change for Scheduling Exam and CE Sessions
This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10.
Posted on: 4/20/2010
4/15/2010 Continuing Education Planning
Posted on: 4/15/2010
Disciplinary and Other FINRA Actions
Posted on: 4/15/2010
 

March 2010

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Regulatory Notices
10-15 FINRA Requirements for Subordinations; Availability of New Standard Forms
Posted on: 3/30/2010
10-14 SEC Approves Access to Historic TRACE Data and Related Fees
Effective Date: March 31, 2010
Posted on: 3/5/2010
Election Notices
3/29/2010 FINRA Announces Election Results for District Committees, District Nominating Committees
Posted on: 3/29/2010
Information Notices
3/24/2010 New Firm Requirement to Designate a Super Account Administrator
Posted on: 3/24/2010
3/10/2010 Mid-Year Rate Adjustment for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 1, 2010
Posted on: 3/10/2010
Disciplinary and Other FINRA Actions
Posted on: 3/15/2010
 

February 2010

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Regulatory Notices
10-13 SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
Effective Date: March 25, 2010
Posted on: 2/23/2010
10-12 Guidance on FAS 167 for FOCUS Reporting
Posted on: 2/19/2010
10-11 Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
Posted on: 2/19/2010
10-10 SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: April 19, 2010
Posted on: 2/16/2010
10-09 FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
Posted on: 2/12/2010
10-08 Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
Effective Date of Rule Requirements: February 8, 2010
Availability of New Form: March 1, 2010
Posted on: 2/10/2010
Election Notices
2/12/2010 Nominees for the District Committees and District Nominating Committees
Posted on: 2/12/2010
Trade Reporting Notices
2/8/2010 FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
Posted on: 2/8/2010
Disciplinary and Other FINRA Actions
Posted on: 2/16/2010
 

January 2010

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Regulatory Notices
10-07 SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Effective Date: April 12, 2010
Posted on: 1/27/2010
10-06 Guidance on Blogs and Social Networking Web Sites
Posted on: 1/25/2010
10-05 FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Posted on: 1/21/2010
10-04 SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
Effective Date: February 15, 2010
Posted on: 1/15/2010
10-03 FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Comment Period Expired: March 8, 2010
Posted on: 1/5/2010
10-02 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Payment Deadline: February 5, 2010
Posted on: 1/5/2010
10-01 Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Comment Period Expired: March 5, 2010
Posted on: 1/4/2010
Disciplinary and Other FINRA Actions
Posted on: 1/15/2010