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 |
|---|---|---|
| Regulatory Notice 07-50 | SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
Effective Date: October 22, 2007
|
|
| Regulatory Notice 07-51 | Amendments to NASD IM-9216 to include certain NYSE Rules under the Minor Rule Violation Plan Effective Date: September 24, 2007
|
|
| Election Notice - 11/1/07 | FINRA Small Firm Advisory Board Election
|
|
| Regulatory Notice 07-52 | Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
Effective Date: October 12, 2007
|
|
| Regulatory Notice 07-53 | SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions
Effective Date: May 5, 2008
|
|
| Regulatory Notice 07-54 | SEC Approves New NASD Rule 2290 Regarding Fairness Opinions
Effective Date: December 8, 2007
|
|
| Regulatory Notice 07-55 | FINRA Reminds Member Firms of Their Obligations Regarding Background Investigations of Prospective Personnel
|
|
| Regulatory Notice 07-56 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
|
| Regulatory Notice 07-57 | SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Effective Date: December 24, 2007
|
|
| Information Notice 11/26/07 | Continuing Education Planning
|
|
| Regulatory Notice 07-58 | FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Comment Period Expired: January 10, 2008
|
|
| 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. |
|
| Regulatory Notice 07-60 | FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays
|
|
| Regulatory Notice 07-61 | SEC Approves Exemption from TRACE Reporting Requirements for Certain "Derivative-Related Transactions"
Effective Date: December 13, 2007
Notice 07-61 supersedes NTM 05-77 |
|
| Regulatory Notice 07-62 | Revisions to the Series 23, 24, 42, 55, 62, 72 and 82 Examination Programs
Implementation Date: February 12, 2008
|
|
| Regulatory Notice 07-63 | FINRA Adopts Rule Amendments Relating to Reporting of Odd-Lot Transactions
Effective Date: March 3, 2008
|
|
| Election Notice - 12/14/07 | Small Firm Advisory Board Election and Ballots
|
|
| 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
|
|
| Information Notice - 12/20/07 | 2007-2008 Filing Due Dates
|
|
| Information Notice - 12/20/07 | 2008 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
|
|
| Regulatory Notice 07-65 | FINRA Amends NYSE Rule 409(f) (Statements of Accounts to Customers) to Eliminate the Requirement to Include the Name of the Securities Market on which a Transaction is Effected
Effective Date: January 1, 2008
|
|
| Regulatory Notice 08-01 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Payment Deadline: February 4, 2008
|
|
| Information Notice - 1/8/08 | New Rate for Fees Paid under Section 31 of the Exchange Act
|
|
| Regulatory Notice 08-02 | Acceptability of Series 24 Examination under NYSE Rule 342.13
|
|
| Election Notice - 1/18/08 | Upcoming District Committee and District Nominating Committee Elections
This Notice was updated to correct the listings for the District Nominating Committees for Districts 3, 4 and 10. |
|
| Regulatory Notice 08-03 | Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (Form U4), the Uniform Termination Notice for Securities Industry Registration (Form U5) and the Uniform Branch Office Registration Form (Form BR)
|
|
| Regulatory Notice 08-04 | FINRA Adopts Rule Amendments that Expand the Delta Hedging Exemptions for Options Positions Limits
Effective Date: February 1, 2008
|
|
| Regulatory Notice 08-05 | [Rescinded]
|
|
| Regulatory Notice 08-06 | SEC Approves Amendments to NASD Rule 11810(i) to Mandate the Use of the Automated Liability Notification System of a Registered Clearing Agency
Effective Date: March 13, 2008
|
|
| Regulatory Notice 08-07 | FINRA and NYSE Filed Rule Changes with the SEC to Amend FINRA's Gross Income Assessment and Eliminate Certain NYSE Fees
Effective Date: Upon SEC Approval With an Implementation Date of January 1, 2008
|
|
| Trade Reporting Notice - 2/19/08 | Guidance on Reporting Electronic Communications Network (ECN) Transactions
|
|
| Information Notice - 2/21/08 | FINRA Secures Relief for Member Firms for Certain Record Retention Requirements
Effective Date: February 19, 2008
|
|
| Trade Reporting Notice - 2/22/08 | FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
|
|
| Election Notice - 2/27/08 | Nominees for the District Committees and District Nominating Committees
|
|
| Regulatory Notice 08-08 | FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products
Effective Date: March 6, 2008
|
|
| Information Notice - 3/10/08 | Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act
Effective Date: April 1, 2008
|
|
| Information Notice - 3/12/08 | Rulebook Consolidation Process
|
|
| Regulatory Notice 08-09 | FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
Effective Date: March 14, 2008
|
|
| Trade Reporting Notice - 3/18/08 | Revised Policy for Disseminating Reports of Fewer Than 100 Shares
Effective Date: April 21, 2008
|
|
| Regulatory Notice 08-10 | FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options
Effective Date: February 28, 2008
|