Government Shutdown Information

  • Regulatory Notice 17-18
    Guidance on Social Networking Websites and Business Communications
    April 25, 2017
  • Regulatory Notice 14-12
    FINRA Announces Updates of the Interpretations of Financial and Operational Rules
    March 24, 2014
  • Regulatory Notice 14-06
    FINRA Announces Updates of the Interpretations of Financial and Operational Rules
    February 07, 2014
  • Regulatory Notice 13-44
    FINRA Announces Updates of the Interpretations of Financial and Operational Rules
    December 23, 2013
  • Regulatory Notice 13-06
    SEC Approves Amendments to Rule 8210
    January 25, 2013
  • Regulatory Notice 11-48
    FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
    October 21, 2011
  • Regulatory Notice 11-39
    Guidance on Social Networking Websites and Business Communications
    August 18, 2011
  • Regulatory Notice 11-19
    SEC Approves Consolidated FINRA Rules Governing Books and Records
    April 27, 2011
  • Regulatory Notice 10-06
    Guidance on Blogs and Social Networking Web Sites
    January 25, 2010
  • Regulatory Notice 08-73
    SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications Effective Date: March 4, 2009
    December 05, 2008
  • Regulatory Notice 08-56
    FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
    October 15, 2008
  • Regulatory Notice 08-12
    SEC Approves Amendment to NASD Rule 2210 to Create an Exception to the Principal Approval Requirements for Certain Filed Sales Material
    March 26, 2008
  • Regulatory Notice 07-64
    SEC approves amendments to NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
    December 19, 2007
  • Notice to Members 06-45
    SEC Approves Amendments to NASD Rule 2211 to Require Principal Pre-Use Approval of Certain Member Correspondence Sent to 25 or More Existing Retail Customers within a 30 Calendar-Day Period
    August 24, 2006
  • Notice to Members 05-49
    NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
    July 28, 2005
  • Notice to Members 05-48
    Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
    July 22, 2005
  • Notice to Members 05-27
    NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period (Comment Period Expired May 27, 2005)
    April 13, 2005
  • Notice to Members 05-18
    NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
    March 02, 2005
  • Notice to Members 03-33
    Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
    June 18, 2003
  • Notice to Members 01-80
    Amendments To Broker/Dealer Books And Records Rules Under The Securities Exchange Act Of 1934
    December 01, 2001
  • Notice to Members 98-11
    SEC Approves Rules Regarding Supervision, Review, And Record Retention Of Correspondence
    January 01, 1998
  • Notice to Members 96-82
    NASD Regulation Solicits Comment On Proposed Rules Governing Supervision, Review, And Record Retention Of Correspondence
    December 01, 1996