Advertising Regulation Notices

Date of Pub Titlesort descending Description
Feb 7, 2011 Information Notice - 01/07/11
January 2011 Supplement to the Options Disclosure Document
Feb 9, 2012 Information Notice - 2/9/12
January 2012 Supplement to the Options Disclosure Document
Aug 26, 2008 Information Notice - 8/26/08
June 2008 Supplement to the Options Disclosure Document
Sep 7, 2010 Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Effective Date: October 7, 2010
Dec 29, 2009 Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Jun 15, 2010 Information Notice 6/15/10
May 2010 Supplement to the Options Disclosure Document
Jan 8, 2016 Information Notice – 1/8/16
Use of FINRA Logo
Apr 10, 2000 Notice to Members 00-21
NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
Apr 10, 2000 Notice to Members 00-23
SEC Approves New Rules Relating to Bond Mutual Fund Volatility Ratings
Jun 16, 2000 Notice to Members 00-44
NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
Sep 11, 2000 Notice to Members 00-61
SEC Approves Day-Trading Rules
Effective Date: October 16, 2000
Jul 2, 2001 Notice to Members 01-45
NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public
Comment Period Expired August 15, 2001
Sep 10, 2001 Notice to Members 01-58
Rules Relating to Bond Mutual Fund Volatility Ratings Extended Two Years
May 8, 2002 Notice to Members 02-28
Member Obligations Regarding Long-Term or Brokered Certificates of Deposit
Note: This Notice is superseded by Notice to Members 02-69.
Jun 11, 2002 Notice to Members 02-35
NASD Adopts Amendments Regarding the Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
Effective Date: July 1, 2002
Jun 26, 2002 Notice to Members 02-39
SEC Approves Rule Governing Research Analysts Conflicts of Interest
Aug 15, 2002 Notice to Members 02-51
NASD Requests Comment on Proposed Interpretative Material Regarding Investment Analysis Tools
Comment Period Expired October 1, 2002
Aug 21, 2002 Notice to Members 02-52
NASD Requests Comment on Proposed Amendments to NASD Rule 3010(g)(2) ("Branch Office Definition")
Comment Period Expired October 21, 2002
Sep 11, 2002 Notice to Members 02-57
Use of Negative Response Letters for the Bulk Transfer of Customer Accounts
Oct 17, 2002 Notice to Members 02-69
Clarification of Member Obligations Regarding Brokered Certificates of Deposit
Effective Date: October 8, 2002
Oct 24, 2002 Notice to Members 02-73
SEC Approves New Rules and Rule Amendments Concerning Security Futures
Effective Date: October 15, 2002
Mar 24, 2003 Notice to Members 03-17
Sales Material for Municipal Fund Securities
Jun 18, 2003 Notice to Members 03-33
Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Jul 1, 2003 Notice to Members 03-37
New Series 23 Examination
Effective Date: July 7, 2003
Jul 7, 2003 Notice to Members 03-38
SEC Approves Amendments to NASD Rules Governing Member Communications with the Public

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