2008 Advertising Regulation-Related Notices

Use the Advertising Regulation-Related Notices Subject Index to locate a Notice by topic, or browse Notices by date below.

March | April | May | June | July | August | September | October | November | December

December 2008

Regulatory Notices
08-82 FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
Posted on: 12/16/2008
08-81 FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
Posted on: 12/16/2008
08-77 Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
Posted on: 12/12/2008
08-73 SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
Effective Date: March 4, 2009
Posted on: 12/5/2008

November 2008

Regulatory Notices
08-66 FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Posted on: 11/4/2008

October 2008

Regulatory Notices
08-58 Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Posted on: 10/17/2008
08-55 FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Comment Period Expired: November 14, 2008
Posted on: 10/14/2008

September 2008

Regulatory Notices
08-48 Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
Posted on: 9/18/2008

August 2008

Information Notices
8/26/2008 June 2008 Supplement to the Options Disclosure Document
Posted on: 8/26/2008

July 2008

Regulatory Notices
08-39 FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expired: September 30, 2008
Posted on: 7/28/2008
08-35 SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Effective Date: August 6, 2008
Posted on: 7/7/2008

June 2008

Regulatory Notices
08-30 Guidance Relating to Illiquid Investments
Posted on: 6/12/2008

May 2008

Regulatory Notices
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
Posted on: 5/22/2008
08-27 The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
Posted on: 5/20/2008
08-24 Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expired: June 13, 2008
Posted on: 5/14/2008

April 2008

Regulatory Notices
08-21 FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
Posted on: 4/30/2008
08-16 Member Firm Disclosure and Supervisory Review Obligations
Effective Date: April 7, 2008
Posted on: 4/7/2008
08-15 Foreign Research Analyst Exemption from the Research Analyst Qualification Examination
Effective Date: April 7, 2008
Posted on: 4/7/2008

March 2008

Regulatory Notices
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
Posted on: 3/26/2008