Guidance
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Notice
Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
February 18, 2009
Guidance
FINRA is issuing this Notice to address certain requirements that apply to the per-share customer account statement values and dividend distributions of REITs and DPPs (collectively, "real estate investment programs") that are sold through broker-dealers, invest in real estate and do not trade on a national securities exchange.
February 04, 2009
Notice
FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
January 13, 2009
Notice
FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
December 12, 2008
Notice
Technology Changes for Reporting Clearing Methods and Arrangements
December 11, 2008
Notice
Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
December 10, 2008
Notice
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
December 03, 2008
Guidance
FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
November 28, 2008
Guidance
Alert to Member Firms About the Federal Trade Commission’s FACT Act Regulations and the Announcement of the FTC’s Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
November 26, 2008
Guidance
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
November 07, 2008
Guidance
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities; Effective Date: November 4, 2008
November 04, 2008
Guidance
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
November 04, 2008
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 30, 2008
Guidance
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
October 23, 2008
Notice
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
October 17, 2008
Guidance
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
October 15, 2008
Notice
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
October 07, 2008
Notice
08-50 - Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
September 24, 2008
Notice
08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
September 15, 2008
Guidance
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
September 05, 2008
Notice
Effective September 22, 2008, FINRA will begin deducting all delinquent arbitration and mediation fees owed by member firms from their Central Registration Depository accounts.
August 25, 2008
Notice
The SEC recently adopted changes to SEC Rule 144 that shorten the
holding period requirements for privately placed securities before they can
be sold into the secondary market, subject to the conditions of the rule,
and that may change industry conventions in the resale of privately placed
debt securities.
August 15, 2008
Guidance
In January 2003, NASD’s Advertising Regulation Department contacted 64 NASD member firms to determine their level of compliance with the NASD and SEC rules that govern advertisements and sales literature for hedge funds and funds of hedge funds. Twenty-five firms responded that they had not used such communications during the subject time period. Thirty-nine firms responded with submissions of over 1000 communications including Web pages, brochures, electronic newsletters, seminar materials, and form letters.
August 12, 2008