2011 Advertising Regulation-Related Notices

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

January | February | March | May | August | September | October | November

November 2011

Regulatory Notices
11-52 FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Posted on: 11/11/2011

October 2011

Regulatory Notices
11-49 FINRA Provides Guidance on Advertising Regulation Issues
Posted on: 10/27/2011

September 2011

Regulatory Notices
11-44 FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expired: November 12, 2011
Posted on: 9/29/2011
11-41 FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Posted on: 9/12/2011

August 2011

Regulatory Notices
11-39 Guidance on Social Networking Websites and Business Communications
Posted on: 8/18/2011

May 2011

Regulatory Notices
11-25 New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Implementation Date: July 9, 2012
Posted on: 5/18/2011

March 2011

Regulatory Notices
11-14 FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Comment Period Expired: May 13, 2011
Posted on: 3/29/2011
11-13 FINRA Revises Sanction Guidelines
Effective Immediately
Posted on: 3/22/2011
11-11 FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 25, 2011
Posted on: 3/11/2011

February 2011

Regulatory Notices
11-07 FINRA Revises the Sanction Guidelines
Effective Date: February 9, 2011
Posted on: 2/9/2011
Information Notices
2/7/2011 January 2011 Supplement to the Options Disclosure Document
Posted on: 2/7/2011

January 2011

Regulatory Notices
11-04 FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Comment Period Expired: March 14, 2011
Posted on: 1/11/2011
11-02 SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
The effective date has been delayed to July 9, 2012
Effective Date: October 7, 2011
Posted on: 1/10/2011