Advertising Regulation Notices

Date of Pubsort ascending Title Description
May 2, 2013 Regulatory Notice 13-18
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
Jan 7, 2013 Regulatory Notice 13-03
FINRA Provides Guidance on New Rules Governing Communications With the Public
Oct 11, 2012 Regulatory Notice 12-42
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: December 20, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.
Sep 5, 2012 Regulatory Notice 12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Effective Date: December 3, 2012
Jun 26, 2012 Regulatory Notice 12-32
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
Effective Dates: July 2, 2012: Advertising and Corporate Financing fees; July 23, 2012: New and Continuing Membership Application fees; January 2, 2013: CRD and Branch Office Annual Reg. fees
This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business.
Jun 14, 2012 Regulatory Notice 12-29
SEC Approves New Rules Governing Communications With the Public
Effective Date: February 4, 2013
Apr 2, 2012 Regulatory Notice 12-17
SEC Approves Consolidated Telemarketing Rule
Mar 7, 2012 Regulatory Notice 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
Feb 17, 2012 Regulatory Notice 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
Feb 9, 2012 Information Notice - 2/9/12
January 2012 Supplement to the Options Disclosure Document
Jan 17, 2012 Regulatory Notice 12-03
Heightened Supervision of Complex Products
Jan 13, 2012 Regulatory Notice 12-02
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Nov 11, 2011 Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Oct 27, 2011 Regulatory Notice 11-49
FINRA Provides Guidance on Advertising Regulation Issues
Sep 29, 2011 Regulatory Notice 11-44
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expired: November 12, 2011
Sep 12, 2011 Regulatory Notice 11-41
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Aug 18, 2011 Regulatory Notice 11-39
Guidance on Social Networking Websites and Business Communications
May 18, 2011 Regulatory Notice 11-25
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Implementation Date: July 9, 2012
Mar 29, 2011 Regulatory Notice 11-14
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Comment Period Expired: May 13, 2011
Mar 22, 2011 Regulatory Notice 11-13
FINRA Revises Sanction Guidelines
Effective Immediately
Mar 11, 2011 Regulatory Notice 11-11
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 25, 2011
Feb 9, 2011 Regulatory Notice - 11-07
FINRA Revises the Sanction Guidelines
Effective Date: February 9, 2011
Feb 7, 2011 Information Notice - 01/07/11
January 2011 Supplement to the Options Disclosure Document
Jan 11, 2011 Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Comment Period Expired: March 14, 2011
Jan 10, 2011 Regulatory Notice 11-02
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Effective Date: October 7, 2011
The effective date has been delayed to July 9, 2012

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