Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Notice to Members 07-14 | Portfolio Margin Risk Disclosure Statement and Written Acknowledgement to be Furnished to Customers Using a Portfolio Margin Account
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| Notice to Members 07-15 | SEC Approves Amendments to TRACE Rules to Reflect the Availability of TRACE "Snapshot" Data for a Reduced Monthly Fee
Effective Date: May 1, 2007
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| Notice to Members 07-16 | Frequently Asked NASD Financial and Operational Questions
This version reflects changes to the answers to QA-2 and QB-8. |
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| Notice to Members 07-17 | NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
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| Notice to Members 07-18 | SEC Approves Amendments to TRACE Reporting Exempting Trades in TRACE-Eligible Securities Conducted on a Facility of, and Reported to, the New York Stock Exchange
Effective Date: January 9, 2007
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| Notice to Members 07-19 | SEC Approves Amendments to Expand IM-2110-2 to Include OTC Equity Securities
Effective Date: July 26, 2007
Please note: The effective date of the expansion of IM-2110-2 to include OTC equity securities, which was approved as part of SR-NASD-2005-146, is delayed until 60 days after SEC approval of the proposed changes in SR-NASD-2007-041. Certain other amendments approved as part of SR-NASD-2005-146 became effective on July 26, 2007. For further information, see SR-FINRA-2007-038. See also File Nos. SR-FINRA-2007-023 and SR-NASD-2007-039. |
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| Notice to Members 07-20 | NASD Amends Rules 1012 and 1013 to Require Applicants for Membership to Submit Applications Using Online Form NMA
Implementation Date: May 7, 2007; Compliance Date: May 31, 2007
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| Notice to Members 07-21 | Reporting of Transactions in TRACE-Eligible Securities With Execution Dates More Than T+365 Days Before Date of Report
TRACE System Enhancement Effective on June 4, 2007
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| Notice to Members 07-22 | NASD Establishes New OTC Equity Trade and Quote Halt Codes
Effective Date: May 7, 2007
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| Notice to Members 07-23 | NASD Trade Reporting Requirements Related to Regulation NMS
See Trade Reporting Notice 2/24/09 for updates to Regulation NMS trade reporting requirements. |
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| Notice to Members 07-24 | New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG)
Effective September 2007
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| Notice to Members 07-25 | NASD Provides Guidance Concerning Trade Reporting Obligations for Transactions in Foreign Securities and American Depositary Receipts
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| Notice to Members 07-26 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Notice to Members 07-28 | SEC Approves Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
Effective Date: July 5, 2007
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| Notice to Members 07-27 | NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings
Comment Period Expires July 20, 2007
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| Notice to Members 07-29 | SEC Approves Rule 2342 Setting Forth Requirements for Providing SIPC Information to Customers
Effective Date: November 6, 2007
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| Notice to Members 07-30 | NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications
Comment Period Expires July 13, 2007
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| Notice to Members 07-31 | NASD Rule Changes to Conform with Amendments to SEC Rule 10a-1 and Regulation SHO
Compliance Date: July 6, 2007
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| Notice to Members 07-32 | NASD Amends Rule 3013 and Interpretive Material 3013 to Permit Members to Designate Co-Chief Executive Officers and Multiple Chief Compliance Officers
Compliance Date: July 16, 2007
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| Election Notice - 8/3/07 | Nominees for FINRA Board of Governors
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| Regulatory Notice 07-33 | FINRA Adopts Rule Amendments Relating to Non-Tape (or Clearing-Only) Reports for Previously Executed Trades
(Including Step-outs, Reversals and Riskless Principal Transactions) Effective Date: September 4, 2007
Notice 07-33 has been superseded by Notice 07-38 |
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| Regulatory Notice 07-34 | SEC Approves Amendments Relating to the Issuer-Directed Provisions of Rule 2790
Effective Date: September 5, 2007
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| Regulatory Notice 07-35 | Extension of Temporary Relief from NYSE Rule 409(f) (Statements of Accounts to Customers) to January 1, 2008
This Notice was updated on 12/13/07 to reflect non-substantive changes. |
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| Regulatory Notice 07-36 | FINRA Clarifies Guidance Relating to SEC Regulation S-P under Notice to Members 07-06 (Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products)
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| Regulatory Notice 07-37 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Regulatory Notice 07-38 | FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades Revised Effective Date: November 5, 2007
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| Regulatory Notice 07-39 | SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders Effective Date: February 4, 2008
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| Notice to Members 07-40 | SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
Effective Date: September 28, 2007
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| Regulatory Notice 07-41 | Member Firms are Reminded to Register with FINRA Associated Persons Who Also are Registered with Another SRO in a FINRA-Recognized Registration Category
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| Regulatory Notice 07-42 | SEC Approves NASD Rule 1160 Regarding Firm Contact Information
Effective Date: December 31, 2007
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| Regulatory Notice 07-43 | FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
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| Regulatory Notice 07-44 | That Authorizes FINRA to Establish a Temporary Program to Allow Firms to Voluntarily Remit Accumulated Funds
Reminder Concerning Proper Disclosure of the Section 3 Fee; Effective Date: December 11, 2007 Sunset Date: June 11, 2008
This Notice was updated on 10/4/07 to correct the ZIP code on p. 3. |
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| Information Notice - 9/20/07 | Fingerprint Processing Fees
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| Regulatory Notice 07-45 | Amendments to NASD Rule 3210 to Conform with Amendments to the SEC's Regulation SHO Delivery Requirements
Effective Date: October 15, 2007
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| Election Notice - 9/26/07 | FINRA Notice of Meeting and Proxy
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| Regulatory Notice 07-46 | FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
Comment Period Expires November 12, 2007
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| Information Notice - 10/5/07 | Extension of Current Rate for Fees Paid under Section 31 of the Exchange Act
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| 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
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| Regulatory Notice 07-48 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Payment Deadline: December 10, 2007
This Notice was changed on 10/15/07 to correct some non-substantive text and to amend the list of regulators that do not participate in the CRD Phase II Program to the American Stock Exchange, Chicago Stock Exchange, National Stock Exchange, NYSE Arca, Inc. and Philadelphia Stock Exchange. |
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| Regulatory Notice 07-49 | Guidance for Firms Affected by the California Wildfires
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