Regulation NMS Notices
FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.
Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.
|Date of Pub||Title||Description|
|Feb 24, 2009||Trade Reporting Notice - 2/24/09||
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
|Jun 20, 2008||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
|Dec 26, 2007||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
|Dec 13, 2007||Regulatory Notice 07-63||
FINRA Adopts Rule Amendments Relating to Reporting of Odd-Lot Transactions
Effective Date: March 3, 2008
|Aug 30, 2007||Regulatory Notice 07-39||
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders
Effective Date: February 4, 2008
|May 11, 2007||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.
|Nov 28, 2006||Notice to Members 06-67||
SEC Approves Amendments to NASD Rules to Align Them with Regulation NMS
Effective Date: Regulation NMS Trading Phase Date, Currently Scheduled to Occur February 5, 2007
The SEC has extended the Trading Phase Date to March 5, 2007.