2012 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
 

May 2012
Regulatory Notices
12-26 SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees New
Effective Date: November 5, 2012
Posted on: 5/21/2012
12-25 Additional Guidance on FINRA’s New Suitability Rule New
Implementation Date: July 9, 2012
Posted on: 5/18/2012
12-24 FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market New
Posted on: 5/15/2012
12-23 FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Comment Period Expires: June 4, 2012
Posted on: 5/4/2012
Election Notices
5/11/2012 Nominees for Upcoming FINRA Board of Governors Election New
Posted on: 5/11/2012
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 5/15/2012
 

April 2012
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Regulatory Notices
12-22 New Electronic Filing System for Public Offering Filings New
Posted on: 4/30/2012
12-21 SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
Posted on: 4/20/2012
12-20 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 4/13/2012
12-19 FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Effective Date: June 4, 2012
Posted on: 4/11/2012
12-18 FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expires: May 21, 2012
Posted on: 4/5/2012
12-17 SEC Approves Consolidated Telemarketing Rule
Posted on: 4/2/2012
Information Notices
4/13/2012 Continuing Education Planning
Posted on: 4/13/2012
4/2/2012 FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
Posted on: 4/2/2012
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 4/16/2012
 

March 2012
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Regulatory Notices
12-16 Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Effective Date: April 2, 2012
Posted on: 3/27/2012
12-15 SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Effective Date: February 23, 2012
Posted on: 3/14/2012
12-14 FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Comment Period Expired: April 11, 2012
Posted on: 3/7/2012
12-13 SEC Approves Consolidated FINRA Best Execution Rule
Effective Date: May 31, 2012
Posted on: 3/2/2012
12-12 SEC Approves Amendments to FINRA’s Code of Procedure
Effective Date: March 30, 2012
Posted on: 3/1/2012
Information Notices
3/1/2012 Revised Fee for Fingerprint Processing
Effective Date: March 19, 2012
Posted on: 3/1/2012
3/8/2012 New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 1, 2012
Posted on: 3/8/2012
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 3/15/2012
 

February 2012
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Regulatory Notices
12-11 SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
The implementation date of FINRA Rule 4524 is February 28, 2012. The due date of the initial SSOI, covering the quarter ending September 30, 2012, is October 26, 2012
Posted on: 2/28/2012
12-10 FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
The comment period was extended to April 27, 2012.
Comment Period Expired: April 27, 2012
Posted on: 2/21/2012
12-09 FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 2, 2012
Posted on: 2/17/2012
12-08 SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
Effective Date: January 26, 2012
Posted on: 2/10/2012
12-07 FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
Comment Period Expired March 26, 2012
Posted on: 2/8/2012
Information Notices
2/29/2012 FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Posted on: 2/29/2012
2/9/2012 January 2012 Supplement to the Options Disclosure Document
Posted on: 2/9/2012
2/3/2012 New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 21, 2012
Posted on: 2/3/2012
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 2/15/2012
 

January 2012
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Regulatory Notices
12-06 SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: March 1, 2012
Posted on: 1/31/2012
12-05 Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
Posted on: 1/26/2012
12-04 SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
Effective Date: February 21, 2012
Posted on: 1/18/2012
12-03 Heightened Supervision of Complex Products
Posted on: 1/17/2012
12-02 FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Posted on: 1/13/2012
12-01 Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 3, 2012
Posted on: 1/3/2012
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 1/17/2012