Advertising Regulation Notices

Date of Pubsort ascending Title Description
Dec 5, 2008 Regulatory Notice 08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
Effective Date: March 4, 2009
Nov 4, 2008 Regulatory Notice 08-66
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Oct 17, 2008 Regulatory Notice 08-58
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Oct 14, 2008 Regulatory Notice 08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Comment Period Expired: November 14, 2008
Sep 18, 2008 Regulatory Notice 08-48
Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
Aug 26, 2008 Information Notice - 8/26/08
June 2008 Supplement to the Options Disclosure Document
Jul 28, 2008 Regulatory Notice 08-39
FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expired: September 30, 2008
Jul 7, 2008 Regulatory Notice 08-35
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Effective Date: August 6, 2008
Jun 12, 2008 Regulatory Notice 08-30
Guidance Relating to Illiquid Investments
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
May 20, 2008 Regulatory Notice 08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
May 14, 2008 Regulatory Notice 08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expired: June 13, 2008
Apr 30, 2008 Regulatory Notice 08-21
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
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
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
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
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.
Nov 6, 2007 Regulatory Notice 07-53
SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions
Effective Date: May 5, 2008
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
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
Jun 14, 2007 Notice to Members 07-30
NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications;
Comment Period ExpiredJuly 13, 2007
Jun 8, 2007 Notice to Members 07-29
SEC Approves Rule 2342 Setting Forth Requirements for Providing SIPC Information to Customers
Effective Date: November 6, 2007
Jun 5, 2007 Notice to Members 07-27
NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings
Comment Period Expired July 20, 2007
Mar 19, 2007 Notice to Members 07-14
Portfolio Margin Risk Disclosure Statement and Written Acknowledgement to be Furnished to Customers Using a Portfolio Margin Account