Advertising Regulation Notices

Date of Pubsort ascending Title Description
Oct 21, 2010 Regulatory Notice 10-52
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
Oct 20, 2010 Regulatory Notice 10-51
Sales Practice Obligations for Commodity Futures-Linked Securities
Sep 20, 2010 Regulatory Notice 10-41
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Sep 7, 2010 Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Effective Date: October 7, 2010
Jun 15, 2010 Information Notice 6/15/10
May 2010 Supplement to the Options Disclosure Document
Apr 20, 2010 Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Apr 8, 2010 Regulatory Notice 10-19
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Feb 12, 2010 Regulatory Notice 10-09
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
Jan 25, 2010 Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Jan 21, 2010 Regulatory Notice 10-05
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Dec 29, 2009 Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Dec 17, 2009 Regulatory Notice 09-73
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
Oct 15, 2009 Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 3310): December 14, 2009<br>Effective Date (FINRA Rule 3310): January 1, 2010
Sep 21, 2009 Regulatory Notice 09-55
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Comment Period Expired: November 20, 2009
Aug 17, 2009 Regulatory Notice 09-50
SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date (FINRA Rule 2320): October 19, 2009<br>Effective Date (Repeal of Incorporated NYSE Rules 134 and 440I): August 17, 2009
Jul 30, 2009 Regulatory Notice 09-42
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
Jun 17, 2009 Regulatory Notice 09-34
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Comment Period Expired: August 3, 2009
Jun 11, 2009 Regulatory Notice 09-31
FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
Jun 11, 2009 Regulatory Notice 09-32
SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
Effective Date: February 8, 2010
May 27, 2009 Regulatory Notice 09-28
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
Mar 18, 2009 Regulatory Notice 09-17
FINRA Provides Guidance on its Enforcement Process
Feb 5, 2009 Regulatory Notice 09-10
SEC Approves Rule Relating to Supervision of Market Letters
Effective Date: February 5, 2009
This Notice was updated to add Attachment A (the amended rule text).
Dec 16, 2008 Regulatory Notice 08-81
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
Dec 16, 2008 Regulatory Notice 08-82
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
Dec 12, 2008 Regulatory Notice 08-77
Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield

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