Notices

Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Friday, July 31, 2009
Regulatory Notice 09-45
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
Tuesday, August 04, 2009
Regulatory Notice 09-46
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
Wednesday, August 05, 2009
Regulatory Notice 09-47
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
Thursday, August 06, 2009
Regulatory Notice 09-48
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Friday, August 14, 2009
Regulatory Notice 09-49
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Friday, August 14, 2009
Regulatory Notice 09-50
SEC Approval and Effective Date for New Consolidated FINRA Rules
Monday, August 17, 2009
Regulatory Notice 09-51
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
Thursday, August 20, 2009
Regulatory Notice 09-52
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
Thursday, August 27, 2009
Regulatory Notice 09-53
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Monday, August 31, 2009
Election Notice - 9/4/09
FINRA Small Firm Advisory Board Election
Friday, September 04, 2009
Regulatory Notice 09-54
SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Friday, September 04, 2009
Election Notice - 9/18/09
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Friday, September 18, 2009
Regulatory Notice 09-55
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Monday, September 21, 2009
Regulatory Notice 09-21
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
Wednesday, April 15, 2009
Regulatory Notice 09-22
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
Tuesday, April 21, 2009
Information Notice 4/29/09
Use of FINRA Logo
Wednesday, April 29, 2009
Election Notice - 5/15/09
Notice of Special Meeting of Large Firms and Proxy
Friday, May 15, 2009
Regulatory Notice 09-23
SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Friday, May 15, 2009
Regulatory Notice 09-24
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
Friday, May 15, 2009
Regulatory Notice 09-25
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Friday, May 15, 2009
Regulatory Notice 09-26
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Tuesday, May 19, 2009
Regulatory Notice 09-27
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
Monday, May 18, 2009
Information Notice - 5/20/09
Continuing Education Planning
Wednesday, May 20, 2009
Regulatory Notice 09-28
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
Wednesday, May 27, 2009