Notices

Regulatory Notice 10-12
Guidance on FAS 167 for FOCUS Reporting
Friday, February 19, 2010
Regulatory Notice 09-71
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Monday, December 07, 2009
Regulatory Notice 09-38
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program
Wednesday, July 15, 2009
Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Friday, July 31, 2009
Regulatory Notice 09-03
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
Tuesday, January 06, 2009
Regulatory Notice 08-46
Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
Friday, September 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
Wednesday, October 15, 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
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 08-38
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Wednesday, July 23, 2008
Regulatory Notice 08-08
FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products
Wednesday, March 05, 2008
Regulatory Notice 08-23
Proposed Consolidated FINRA Rules Governing Financial Responsibility
Wednesday, May 14, 2008
Regulatory Notice 07-58
FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Monday, November 26, 2007
Regulatory Notice 07-60
FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays
Tuesday, December 11, 2007