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February
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September
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November
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December
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| December 2007 |
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| Regulatory Notices |
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07-65
FINRA Amends NYSE Rule 409(f) (Statements of Accounts to Customers) to Eliminate the Requirement to Include the Name of the Securities Market on which a Transaction is Effected;
Effective Date: January 1, 2008
(Notice Posted on: 12/26/07)
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07-64
SEC approves amendments to NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports;
Effective Date: December 19, 2007
(Notice Posted on: 12/19/07)
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07-63
FINRA Adopts Rule Amendments Relating to Reporting of Odd-Lot Transactions;
Effective Date: March 3, 2008
(Notice Posted on: 12/13/07)
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07-62
Revisions to the Series 23, 24, 42, 55, 62, 72 and 82 Examination Programs;
Implementation Date: February 12, 2008
(Notice Posted on: 12/12/07)
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07-61
SEC Approves Exemption from TRACE Reporting Requirements for Certain "Derivative-Related Transactions";
Effective Date: December 13, 2007
(Notice Posted on: 12/11/07)
Notice 07-61 supersedes NTM 05-77
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07-60
FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays
(Notice Posted on: 12/11/07)
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07-59
FINRA Provides Guidance Regarding the Review and Supervision of Electronic Communications
(Notice Posted on: 12/7/07)
This Notice was updated on 12/13/07 to reflect non-substantive changes.
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| Election Notices |
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12/14/07
Small Firm Advisory Board Election and Ballots
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| Information Notices |
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12/21/07
2008 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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12/20/07
2007-2008 Filing Due Dates
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 12/17/07)
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| November 2007 |
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| Regulatory Notices |
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07-58
FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices;
Comment Period Expired: January 10, 2008
(Notice Posted on: 11/26/07)
View Comments
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07-57
SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation;
Effective Date: December 24, 2007
(Notice Posted on: 11/23/07)
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07-56
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
(Notice Posted on: 11/19/07)
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07-55
FINRA Reminds Member Firms of Their Obligations Regarding Background Investigations of Prospective Personnel
(Notice Posted on: 11/14/07)
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07-54
SEC Approves New NASD Rule 2290 Regarding Fairness Opinions;
Effective Date: December 8, 2007
(Notice Posted on: 11/8/07)
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07-53
SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions;
Effective Date: May 5, 2008
(Notice Posted on: 11/6/07)
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07-52
SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations;
Effective Date: October 12, 2007
(Notice Posted on: 11/2/07)
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| Election Notices |
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11/1/07
FINRA Small Firm Advisory Board Election
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| Information Notices |
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11/26/07
Continuing Education Planning
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 11/15/07)
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| October 2007 |
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| Regulatory Notices |
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07-51
Amendments to NASD IM-9216 to include certain NYSE Rules under the Minor Rule Violation Plan
Effective Date: September 24, 2007
(Notice Posted on: 10/30/07)
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07-50
SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames;
Effective Date: October 22, 2007
(Notice Posted on: 10/29/07)
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07-49
Guidance for Firms Affected by the California Wildfires
(Notice Posted on: 10/25/07)
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07-48
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008;
Payment Deadline: December 10, 2007
(Notice Posted on: 10/8/07)
This Notice was changed on 10/15/07 to correct some non-substantive text and to amend the list of regulators that do not participate in the CRD Phase II Program to the American Stock Exchange, Chicago Stock Exchange, National Stock Exchange, NYSE Arca, Inc. and Philadelphia Stock Exchange.
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07-47
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA;
Effective Date: November 17, 2007
(Notice Posted on: 10/5/07)
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| Information Notices |
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10/5/07
Extension of Current Rate for Fees Paid under Section 31 of the Exchange Act
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 10/15/07)
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| September 2007 |
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| Regulatory Notices |
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07-46
FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities;
Comment Period Expired November 12, 2007
(Notice Posted on: 9/28/07)
View Comments
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07-45
Amendments to NASD Rule 3210 to Conform with Amendments to the SEC's Regulation SHO Delivery Requirements;
Effective Date: October 15, 2007
(Notice Posted on: 9/21/07)
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07-44
SEC Approves New Interpretive Material That Authorizes FINRA to Establish a Temporary Program to Allow Firms to Voluntarily Remit Accumulated Funds; Reminder Concerning Proper Disclosure of the Section 3 Fee;
Effective Date: December 11, 2007 Sunset Date: June 11, 2008
(Notice Posted on: 9/12/07)
This Notice was updated on 10/4/07 to correct the ZIP code on p. 3.
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07-43
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
(Notice Posted on: 9/10/07)
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07-42
SEC Approves NASD Rule 1160 Regarding Firm Contact Information;
Effective Date: December 31, 2007
(Notice Posted on: 9/7/07)
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07-41
Member Firms are Reminded to Register with FINRA Associated Persons Who Also are Registered with Another SRO in a FINRA-Recognized Registration Category
(Notice Posted on: 9/6/07)
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| Election Notices |
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9/26/07
FINRA Notice of Meeting and Proxy
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| Information Notices |
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9/20/07
Fingerprint Processing Fees
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 9/17/07)
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| August 2007 |
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| Regulatory Notices |
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07-40
SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities;
Effective Date: September 28, 2007
(Notice Posted on: 8/31/07)
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07-39
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders;
Effective Date: February 4, 2008
(Notice Posted on: 8/30/07)
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07-38
FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades;
Revised Effective Date: November 5, 2007
(Notice Posted on: 8/29/07)
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07-37
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
(Notice Posted on: 8/28/07)
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07-36
FINRA Clarifies Guidance Relating to SEC Regulation S-P under Notice to Members 07-06 (Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products)
(Notice Posted on: 8/13/07)
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07-35
Extension of Temporary Relief from NYSE Rule 409(f) (Statements of Accounts to Customers) to January 1, 2008
(Notice Posted on: 8/10/07)
This Notice was updated on 12/13/07 to reflect non-substantive changes.
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07-34
SEC Approves Amendments Relating to the Issuer-Directed Provisions of Rule 2790;
Effective Date: September 5, 2007
(Notice Posted on: 8/6/07)
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07-33
FINRA Adopts Rule Amendments Relating to Non-Tape (or Clearing-Only) Reports for Previously Executed Trades; (Including Step-outs, Reversals and Riskless Principal Transactions)
Effective Date: September 4, 2007
(Notice Posted on: 8/3/07)
Notice 07-33 has been superseded by Notice 07-38
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| Election Notices |
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8/3/07
Nominees for FINRA Board of Governors
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 8/16/07)
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| July 2007 |
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07-32
NASD Amends Rule 3013 and Interpretive Material 3013 to Permit Members to Designate Co-Chief Executive Officers and Multiple Chief Compliance Officers;
Compliance Date: July 16, 2007
(Notice Posted on: 7/25/07)
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07-31
NASD Rule Changes to Conform with Amendments to SEC Rule 10a-1 and Regulation SHO;
Compliance Date: July 6, 2007
(Notice Posted on: 7/5/07)
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Disciplinary and Other NASD Actions
(posted on 7/16/07)
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| June 2007 |
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07-30
NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications;
Comment Period Expired
July 13, 2007
(Notice Posted on: 6/14/07)
View Comments
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07-29
SEC Approves Rule 2342 Setting Forth Requirements for Providing SIPC Information to Customers;
Effective Date: November 6, 2007
(Notice Posted on: 6/8/07)
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07-28
SEC Approves Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities;
Effective Date: July 5, 2007
(Notice Posted on: 6/5/07)
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07-27
NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings;
Comment Period Expired July 20, 2007
(Notice Posted on: 6/5/07)
View Comments
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Disciplinary and Other NASD Actions
(posted on 6/16/07)
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| May 2007 |
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07-26
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
(Notice Posted on: 5/21/07)
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07-25
NASD Provides Guidance Concerning Trade Reporting Obligations for Transactions in Foreign Securities and American Depositary Receipts
(Notice Posted on: 5/18/07)
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07-24
New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG);
Effective September 2007
(Notice Posted on: 5/15/07)
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07-23
NASD Trade Reporting Requirements Related to Regulation NMS
(Notice Posted on: 5/11/07)
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07-22
NASD Establishes New OTC Equity Trade and Quote Halt Codes;
Effective Date: May 7, 2007
(Notice Posted on: 5/4/07)
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07-21
Reporting of Transactions in TRACE-Eligible Securities With Execution Dates More Than T+365 Days Before Date of Report;
TRACE System Enhancement Effective on June 4, 2007
(Notice Posted on: 5/4/07)
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07-20
NASD Amends Rules 1012 and 1013 to Require Applicants for Membership to Submit Applications Using Online Form NMA;
Implementation Date: May 7, 2007; Compliance Date: May 31, 2007
(Notice Posted on: 5/1/07)
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Disciplinary and Other NASD Actions
(posted on 5/15/07)
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| April 2007 |
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07-19
SEC Approves Amendments to Expand IM-2110-2 to Include OTC Equity Securities;
Effective Date: July 26, 2007
(Notice Posted on: 4/27/07)
Please note: The effective date of the expansion of IM-2110-2 to include OTC equity securities, which was approved as part of SR-NASD-2005-146, is delayed until 60 days after SEC approval of the proposed changes in SR-NASD-2007-041. Certain other amendments approved as part of SR-NASD-2005-146 became effective on July 26, 2007. For further information, see SR-FINRA-2007-038. See also File Nos. SR-FINRA-2007-023 and SR-NASD-2007-039.
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07-18
SEC Approves Amendments to TRACE Reporting Exempting Trades in TRACE-Eligible Securities Conducted on a Facility of, and Reported to, the New York Stock Exchange;
Effective Date: January 9, 2007
(Notice Posted on: 4/26/07)
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07-17
NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
(Notice Posted on: 4/18/07)
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07-16
Frequently Asked NASD Financial and Operational Questions
(Notice Posted on: 4/9/07)
This version reflects changes to the answers to QA-2 and QB-8.
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Disciplinary and Other NASD Actions
(posted on 4/16/07)
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| March 2007 |
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07-15
SEC Approves Amendments to TRACE Rules to Reflect the Availability of TRACE "Snapshot" Data for a Reduced Monthly Fee;
Effective Date: May 1, 2007
(Notice Posted on: 3/26/07)
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07-14
Portfolio Margin Risk Disclosure Statement and Written Acknowledgement to be Furnished to Customers Using a Portfolio Margin Account
(Notice Posted on: 3/19/07)
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07-13
SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators;
Effective Date: April 2, 2007
(Notice Posted on: 3/2/07)
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Disciplinary and Other NASD Actions
(posted on 3/15/07)
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| February 2007 |
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07-12
NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE;
Comment Period Expired March 26, 2007
(Notice Posted on: 2/22/07)
View Comments
The comment period was extended to April 9, 2007.
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07-11
Amendment to Margin Rules to Establish a Portfolio Margin Pilot Program;
Effective Date: April 2, 2007
(Notice Posted on: 2/20/07)
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07-10
SEC Approves Changes to NASD Interpretive Material 8310-2 Regarding the Release of Information through NASD BrokerCheck;
Effective Date: March 19, 2007
(Notice Posted on: 2/16/07)
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07-09
SEC Approves Amendments to NASD Rules to Modify and Expand NASD's Authority to Initiate Trading and Quotation Halts in Over-the-Counter (OTC) Equity Securities;
Effective Date: March 16, 2007
(Notice Posted on: 2/16/07)
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07-08
Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
(Notice Posted on: 2/15/07)
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07-07
SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure;
Effective Date: April 16, 2007
(Notice Posted on: 2/15/07)
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07-06
Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
(Notice Posted on: 2/13/06)
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07-05
Amendments to the Fees for Filing Offering Documents by Well Known Seasoned Issuers Pursuant to the Corporate Financing Rule;
Effective Date: February 26, 2007
(Notice Posted on: 2/7/06)
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Disciplinary and Other NASD Actions
(posted on 2/15/07)
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| January 2007 |
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07-04
Codification of Interpretations to Rule 2711;
Implementation Date: September 27, 2006
(Notice Posted on: 1/24/07)
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07-03
NASD Announces SEC Approval of Amendments to Rule 2860 and Issues Guidance Concerning Large Options Position Reports and Aggregation of Certain Positions;
Effective Date of Amendments February 12, 2007
(Notice Posted on: 1/12/07)
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07-02
SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD's Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com;
Effective Date: July 7, 2007
(Notice Posted on: 1/8/07)
The effective date has been extended to October 31, 2007.
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07-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
(Notice Posted on: 1/3/07)
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Disciplinary and Other NASD Actions
(posted on 1/16/07)
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