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.