Notices

Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, December 23, 2013
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 12-54
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
Friday, December 07, 2012
Regulatory Notice 12-58
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Thursday, December 27, 2012
Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Thursday, January 24, 2013
Regulatory Notice - 13-10
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Monday, March 04, 2013
Regulatory Notice 12-11
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
Tuesday, February 28, 2012
Regulatory Notice 12-23
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Friday, May 04, 2012
Regulatory Notice 11-33
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Friday, July 22, 2011
Regulatory Notice 11-38
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
Monday, August 08, 2011
Regulatory Notice 11-46
FINRA to Require Electronic Submission of Annual Audit Reports
Monday, October 03, 2011
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
Friday, October 21, 2011
Regulatory Notice 11-14
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Tuesday, March 29, 2011
Regulatory Notice 11-21
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
Thursday, May 05, 2011
Regulatory Notice 11-26
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Friday, May 27, 2011
Regulatory Notice 10-44
New Alert-Reporting Criterion for Leverage in FOCUS Reports
Wednesday, September 22, 2010
Regulatory Notice 10-46
Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
Monday, October 04, 2010
Regulatory Notice 10-57
Funding and Liquidity Risk Management Practices
Monday, November 01, 2010
Regulatory Notice 10-61
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
Friday, December 03, 2010
Regulatory Notice 10-15
FINRA Requirements for Subordinations; Availability of New Standard Forms
Tuesday, March 30, 2010
Regulatory Notice 10-19
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Thursday, April 08, 2010
Regulatory Notice 10-18
FINRA Issues Guidance on Master and Sub-Account Arrangements
Tuesday, April 06, 2010
Regulatory Notice 10-21
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Thursday, April 15, 2010
Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Monday, July 19, 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