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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| Regulatory Notice 08-11 | Q&A on Electronic Filing Requirements of NASD Rule 3170
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| 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
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| Regulatory Notice 08-13 | FINRA Consolidates the Collection of Short Interest Data
Effective Date Extended
The effective date of the consolidation of the collection of short interest data has been extended to June 30, 2008. As a result, the testing period for these changes has been extended to June 3, 2008. |
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| Regulatory Notice 08-14 | FINRA Implements New Electronic Form NMA Filing Requirement
Effective Date: February 29, 2008
The New Membership Application Form NMA Guide referred to in this Notice is now available in the FINRA Firm Gateway. |
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| Information Notice - 4/1/08 | FINRA Implements Changes to OTC Reporting Facility and OTC Bulletin Board Invoice Processes
Effective Date: April 1, 2008
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| Regulatory Notice 08-15 | Foreign Research Analyst Exemption from the Research Analyst Qualification Examination
Effective Date: April 7, 2008
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| Regulatory Notice 08-16 | Member Firm Disclosure and Supervisory Review Obligations
Effective Date: April 7, 2008
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| Regulatory Notice 08-17 | Reporting of Customer Complaints Relating to Auction Rate Securities
Effective Date: April 1, 2008
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| Regulatory Notice 08-18 | Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
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| Election Notice - 4/11/08 | Election Results for District Committees and District Nominating Committees
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| Regulatory Notice 08-19 | SEC Approves Rule Change to Amend FINRA's Gross Income Assessment
Effective Date: January 1, 2008
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| Regulatory Notice 08-20 | FINRA Requests Comments on Proposed Changes to Forms U4 and U5
Comment Period Expires: May 27, 2008
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| Regulatory Notice 08-21 | FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
Comment Period Expired: May 27, 2008
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| Regulatory Notice 08-22 | SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Effective June 9, 2008
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| Regulatory Notice 08-25 | Proposed Consolidated FINRA Rules Governing Books and Records Requirements
Comment Period Expires: June 13, 2008
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| Regulatory Notice 08-24 | Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
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| Regulatory Notice 08-24 | Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
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| Regulatory Notice 08-23 | Proposed Consolidated FINRA Rules Governing Financial Responsibility
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| Information Notice - 5/15/08 | April 2008 Supplement to the Options Disclosure Document
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| Regulatory Notice 08-27 | The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
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| 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
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| Regulatory Notice 08-29 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 6/9/08 | Continuing Education Planning
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| Regulatory Notice 08-30 | Guidance Relating to Illiquid Investments
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| Regulatory Notice 08-31 | SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders Effective Date: May 6, 2008
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| Regulatory Notice 08-32 | FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Effective Date: November 17, 2008
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| Regulatory Notice 08-33 | SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures Effective Date: June 6, 2008
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| Trade Reporting Notice - 7/1/08 | FINRA Announces the Effective Date of Modifications to the TRACE System
Effective Date: August 4, 2008
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| Regulatory Notice 08-34 | SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems Effective Date: August 1, 2008
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| Regulatory Notice 08-35 | SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Effective Date: August 6, 2008
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| Regulatory Notice 08-36 | SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions Effective Date: June 13, 2008
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| Regulatory Notice 08-37 | FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
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| Regulatory Notice 08-38 | FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
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| Trade Reporting Notice - 7/28/08 | FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
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| Regulatory Notice 08-39 | FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expires: September 30, 2008
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| Regulatory Notice 08-40 | Technology Changes for Reporting Certain Complaint and Disclosure Information
Effective Date: October 20, 2008
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| Regulatory Notice 08-41 | FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
Effective Date: August 1, 2008
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| Trade Reporting Notice - 8/14/08 | Trade Reporting Frequently Asked Questions
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