Notices

Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Thursday, May 03, 2018
Regulatory Notice 18-07
Extension of Time Requests Relating to FINRA Rule 4210
Wednesday, February 14, 2018
Regulatory Notice 17-28
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
Friday, September 29, 2017
Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Friday, April 07, 2017
Regulatory Notice 16-31
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Friday, August 12, 2016
Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Wednesday, April 20, 2016
Regulatory Notice 14-05
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Monday, February 03, 2014
Regulatory Notice 14-13
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Tuesday, March 25, 2014
Regulatory Notice 14-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Monday, January 27, 2014
Regulatory Notice 12-44
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Friday, October 26, 2012
Regulatory Notice 11-30
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
Monday, June 27, 2011
Regulatory Notice 11-31
Interim Pilot Program on Margin Requirements for Credit Default Swaps
Friday, July 15, 2011
Regulatory Notice 11-15
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Monday, April 04, 2011
Regulatory Notice 11-16
Treatment of Non-Margin Eligible Equity Securities
Thursday, April 07, 2011
Regulatory Notice 10-45
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Monday, October 04, 2010
Regulatory Notice 10-53
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Tuesday, October 26, 2010
Regulatory Notice 10-18
FINRA Issues Guidance on Master and Sub-Account Arrangements
Tuesday, April 06, 2010
Regulatory Notice 10-28
New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
Wednesday, June 09, 2010
Regulatory Notice 10-03
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Tuesday, January 05, 2010
Regulatory Notice 10-08
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
Wednesday, February 10, 2010
Regulatory Notice 09-65
FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs
Tuesday, November 17, 2009
Regulatory Notice 09-53
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Monday, August 31, 2009
Regulatory Notice 08-60
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
Tuesday, October 21, 2008
Regulatory Notice 08-65
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
Tuesday, November 04, 2008
Regulatory Notice 08-32
FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Monday, June 23, 2008