Notices

Regulatory Notice 08-53
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
Tuesday, October 07, 2008
Election Notice - 10/10/08
FINRA Small Firm Advisory Board Election
Friday, October 10, 2008
Regulatory Notice 08-54
Guidance on Special Purpose Acquisition Companies
Monday, October 13, 2008
Regulatory Notice 08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Tuesday, October 14, 2008
Regulatory Notice 08-56
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
Wednesday, October 15, 2008
Regulatory Notice 08-57
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules
Thursday, October 16, 2008
Regulatory Notice 08-58
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Friday, October 17, 2008
Regulatory Notice 08-59
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
Monday, October 20, 2008
Information Notice - 10/21/08
New Account Application Template
Tuesday, October 21, 2008
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
Information Notice - 10/22/08
FINRA Survey to Update the Series 7 Exam
Wednesday, October 22, 2008
Regulatory Notice 08-61
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
Thursday, October 23, 2008
Election Notice - 10/24/08
FINRA Notice of Special Meeting of Small Firms and Proxy
Friday, October 24, 2008
Regulatory Notice 08-62
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases
Friday, October 24, 2008
Regulatory Notice 08-63
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Thursday, October 30, 2008
Information Notice - 10/31/08
Continuing Education Planning
Friday, October 31, 2008
Regulatory Notice 08-64
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication
Friday, October 31, 2008
Information Notice - 11/3/08
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Monday, November 03, 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 08-66
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Tuesday, November 04, 2008
Regulatory Notice 08-40
Technology Changes for Reporting Certain Complaint
and Disclosure Information
Wednesday, August 06, 2008
Regulatory Notice 08-41
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
Friday, August 08, 2008
Trade Reporting Notice - 8/14/08
Trade Reporting Frequently Asked Questions
Thursday, August 14, 2008
Regulatory Notice 08-42
Guidance on Transactions in TRACE-Eligible Securities Under SEC Rule 144
Friday, August 15, 2008
Regulatory Notice 08-43
SEC Approves Expanding Disseminated Real-Time TRACE Data
Wednesday, August 20, 2008