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 09-41 | SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
Effective Date: November 2, 2009
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| Regulatory Notice 09-42 | FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
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| Regulatory Notice 09-43 | SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Effective Date: August 31, 2009
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| Regulatory Notice 09-44 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Comment Period Expires: September 14, 2009
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| Regulatory Notice 09-45 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
Comment Period Expires: September 18, 2009
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| Regulatory Notice 09-46 | FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
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| Regulatory Notice 09-47 | New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
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| Regulatory Notice 09-48 | SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
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| Regulatory Notice 09-49 | SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Effective Date: September 14, 2009
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| Regulatory Notice 09-50 | SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date (FINRA Rule 2320): October 19, 2009; Effective Date (Repeal of Incorporated NYSE Rules 134 and 440I): August 17, 2009
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| Regulatory Notice 09-51 | SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
Effective Date: September 21, 2009
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| Regulatory Notice 09-52 | SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
Effective Date: January 11, 2010
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| Regulatory Notice 09-53 | Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Effective Date: December 1, 2009
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| Election Notice - 9/4/09 | FINRA Small Firm Advisory Board Election
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| Regulatory Notice 09-54 | SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Effective Date: March 1, 2010
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| Election Notice - 9/18/09 | FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
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| Regulatory Notice 09-55 | FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Comment Period Expires: November 20, 2009
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| Regulatory Notice 09-56 | Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
Effective Date: Upon SEC Approval With an Implementation Date of January 1, 2010
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| Information Notice 9/29/09 | Publication of Daily and Monthly Short Sale Reports on the FINRA Web Site
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| Information Notice 10/2/09 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Regulatory Notice 09-58 | SEC Approves Amendments Regarding Best Execution and Interpositioning
Effective Date: September 8, 2009
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| Regulatory Notice 09-59 | FINRA Provides Guidance on Pandemic Preparedness
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| Regulatory Notice 09-60 | SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 3310): December 14, 2009 Effective Date (FINRA Rule 3310): January 1, 2010
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| Information Notice - 10/23/09 | Continuing Education Planning
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| Election Notice - 10/23/09 | Notice of SFAB Election and Ballots
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| Regulatory Notice 09-61 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Regulatory Notice 09-62 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Payment Deadline: December 11, 2009
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| Information Notice 11/09/09 | Changes to the S101 and S106 Regulatory Element Continuing Education Programs
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| Regulatory Notice 09-63 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Comment Period Expires: December 28, 2009
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| Regulatory Notice 09-64 | Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
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| Regulatory Notice 09-65 | FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs
New Effective Date: April 30, 2010
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| Regulatory Notice 09-66 | SEC Approves Changes to FINRA's BrokerCheck Disclosure Rule to Retain and Make Publicly Available Information About Final Regulatory Actions Against Former Brokers
Effective Date: November 30, 2009
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| Regulatory Notice 09-67 | Regulatory Element Continuing Education Fees to Increase
Effective Date: January 4, 2010
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| Regulatory Notice 09-68 | SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees
Effective Date: January 1, 2010
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| Regulatory Notice 09-69 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Comment Period Expires: February 1, 2010
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| Regulatory Notice 09-70 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Comment Period Expires: February 1, 2010
The comment period was extended to March 1, 2010. |
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| Information Notice 12/09/09 | Certification of Annual Audits
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| Election Notice - 12/11/09 | Upcoming District Committee and District Nominating Committee Elections
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| Information Notice 12/14/09 | 2010 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Regulatory Notice 09-72 | SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 2330): February 15, 2010; Effective Date (FINRA Rule 2330): February 8, 2010
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