Advertising Regulation Notices

Date of Pub Titlesort descending Description
Jan 1, 1998 Notice to Members 98-03
Electronic Delivery of Information Between Members and Their Customers
Dec 1, 1998 Notice to Members 98-107
NASD Reminds Members of Their Obligations to Disclose Mutual Fund Fees
Jan 1, 1998 Notice to Members 98-11
SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence
Effective February 15, 1998
May 1, 1998 Notice to Members 98-38
NASD Reminds Members of Supervisory and Inspection Obligations
Oct 1, 1998 Notice to Members 98-83
SEC Approves Rule Change Relating to Standards for Individual Correspondence
Effective November 16, 1998
Dec 1, 1998 Notice to Members 98-97
Notice of Increase in Advertising Review Fees
Jan 1, 1999 Notice to Members 99-03
SEC Approves Rule Amendments Requiring Review of Incoming, Written Correspondence
Effective March 15, 1999
Feb 1, 1999 Notice to Members 99-11
NASD Regulation Issues Guidance Regarding Stock Volatility
Feb 1, 1999 Notice to Members 99-16
SEC Approves Changes to Rules Regarding Membership and Registration; Investigation and Sanctions; and Conduct and Code of Procedure
May 1, 1999 Notice to Members 99-35
The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities
Feb 9, 2011 Regulatory Notice - 11-07
FINRA Revises the Sanction Guidelines
Effective Date: February 9, 2011
Sep 10, 2007 Regulatory Notice 07-43
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
Oct 5, 2007 Regulatory Notice 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
Nov 6, 2007 Regulatory Notice 07-53
SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions
Effective Date: May 5, 2008
Dec 7, 2007 Regulatory Notice 07-59
FINRA Provides Guidance Regarding the Review and Supervision of Electronic Communications
This Notice was updated on 12/13/07 to reflect non-substantive changes.
Dec 19, 2007 Regulatory Notice 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
Mar 26, 2008 Regulatory Notice 08-12
SEC Approves Amendment to NASD Rule 2210 to Create an Exception to the Principal Approval Requirements for Certain Filed Sales Material
Effective Date: March 26, 2008
Apr 7, 2008 Regulatory Notice 08-15
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination
Effective Date: April 7, 2008
Apr 7, 2008 Regulatory Notice 08-16
Member Firm Disclosure and Supervisory Review Obligations
Effective Date: April 7, 2008
Apr 30, 2008 Regulatory Notice 08-21
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
May 14, 2008 Regulatory Notice 08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expired: June 13, 2008
May 20, 2008 Regulatory Notice 08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
May 22, 2008 Regulatory Notice 08-28
SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
Effective Date: June 23, 2008
Jun 12, 2008 Regulatory Notice 08-30
Guidance Relating to Illiquid Investments
Jul 7, 2008 Regulatory Notice 08-35
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Effective Date: August 6, 2008

Pages