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
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.