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January
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February
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March
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April
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May
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June
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July
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| July 2008 |
| Regulatory Notices |
08-38
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
(Notice Posted on: 7/23/08)
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08-37
FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
(Notice Posted on: 7/17/08)
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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
(Notice Posted on: 7/11/08)
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08-35
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs);
Effective Date: August 6, 2008
(Notice Posted on: 7/7/08)
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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
(Notice Posted on: 7/2/08)
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| Trade Reporting Notices |
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7/1/08
FINRA Announces the Effective Date of Modifications to the TRACE System;
Effective Date: August 4, 2008
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 7/15/08)
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| June 2008 |
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| Regulatory Notices |
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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
(Notice Posted on: 6/30/08)
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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
(Notice Posted on: 6/23/08)
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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
(Notice Posted on: 6/20/08)
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08-30
Guidance Relating to Illiquid Investments
(Notice Posted on: 6/12/08)
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08-29
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
(Notice Posted on: 6/2/08)
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| Information Notices |
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6/9/08
Continuing Education Planning
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 6/16/08)
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| May 2008 |
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| Regulatory Notices |
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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
(Notice Posted on: 5/22/08)
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08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
(Notice Posted on: 5/20/08)
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08-26
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection;
Comment Period Expired: June 13, 2008
(Notice Posted on: 5/14/08)
View Comments
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08-25
Proposed Consolidated FINRA Rules Governing Books and Records Requirements;
Comment Period Expired: June 13, 2008
(Notice Posted on: 5/14/08)
View Comments
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08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls;
Comment Period Expired: June 13, 2008
(Notice Posted on: 5/14/08)
View Comments
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08-23
Proposed Consolidated FINRA Rules Governing Financial Responsibility;
Comment Period Expired: June 13, 2008
(Notice Posted on: 5/14/08)
View Comments
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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
(Notice Posted on: 5/9/08)
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| Information Notices |
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5/15/08
April 2008 Supplement to the Options Disclosure Document
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 5/15/08)
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| April 2008 |
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| Regulatory Notices |
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08-21
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
(Notice Posted on: 4/30/08)
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08-20
FINRA Requests Comments on Proposed Changes to Forms U4 and U5;
Comment Period Expired: May 27, 2008
(Notice Posted on: 4/24/08)
View Comments
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08-19
SEC Approves Rule Change to Amend FINRA's Gross Income Assessment;
Effective Date: January 1, 2008
(Notice Posted on: 4/11/08)
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08-18
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
(Notice Posted on: 4/8/08)
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08-17
Reporting of Customer Complaints Relating to Auction Rate Securities;
Effective Date: April 1, 2008
(Notice Posted on: 4/8/08)
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08-16
Member Firm Disclosure and Supervisory Review Obligations;
Effective Date: April 7, 2008
(Notice Posted on: 4/7/08)
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08-15
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination;
Effective Date: April 7, 2008
(Notice Posted on: 4/7/08)
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| Election Notices |
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4/11/08
Election Results for District Committees and District Nominating Committees
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| Information Notices |
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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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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 4/15/08)
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| March 2008 |
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| Regulatory Notices |
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08-14
FINRA Implements New Electronic Form NMA Filing Requirement;
Effective Date: February 29, 2008, Compliance Date: June 26, 2008
(Notice Posted on: 3/28/08)
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08-13
FINRA Consolidates the Collection of Short Interest Data;
Effective Date: May 15, 2008
(Notice Posted on: 3/27/08)
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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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
(Notice Posted on: 3/26/08)
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08-11
Q&A on Electronic Filing Requirements of NASD Rule 3170
(Notice Posted on: 3/24/08)
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08-10
FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options;
Effective Date: February 28, 2008
(Notice Posted on: 3/19/08)
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08-09
FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts;
Effective Date: March 14, 2008
(Notice Posted on: 3/14/08)
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08-08
FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products;
Effective Date: March 6, 2008
(Notice Posted on: 3/5/08)
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| Trade Reporting Notices |
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3/18/08
Revised Policy for Disseminating Reports of Fewer Than 100 Shares;
Effective Date: April 21, 2008
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| Information Notices |
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3/12/08
Rulebook Consolidation Process
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3/10/08
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act;
Effective Date: April 1, 2008
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 3/17/08)
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| February 2008 |
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| Regulatory Notices |
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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
(Notice Posted on: 2/14/08)
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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
(Notice Posted on: 2/12/08)
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08-05
Regulatory Notice 08-05 has been rescinded.
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| Election Notices |
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2/27/08
Nominees for the District Committees and District Nominating Committees
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| Trade Reporting Notices |
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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
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2/19/08
Guidance on Reporting Electronic Communications Network (ECN) Transactions
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| Information Notices |
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2/21/08
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements;
Effective Date: February 19, 2008
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 2/15/08)
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| January 2008 |
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| Regulatory Notices |
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08-04
FINRA Adopts Rule Amendments that Expand the Delta Hedging Exemptions for Options Positions Limits;
Effective Date: February 1, 2008
(Notice Posted on: 1/31/08)
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08-03
SEC Approves 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);
Effective Date: February 4, 2008
(Notice Posted on: 1/28/08)
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08-02
Acceptability of Series 24 Examination under NYSE Rule 342.13
(Notice Posted on: 1/11/08)
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08-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008;
Payment Deadline: February 4, 2008
(Notice Posted on: 1/2/08)
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| Election Notices |
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.
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| Information Notices |
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1/8/08
New Rate for Fees Paid under Section 31 of the Exchange Act
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| Disciplinary Actions |
Disciplinary and Other FINRA Actions
(posted on 1/15/08)
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