Notices

Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Tuesday, April 25, 2017
Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, March 24, 2014
Regulatory Notice 14-06
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Friday, February 07, 2014
Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, December 23, 2013
Regulatory Notice 13-06
SEC Approves Amendments to Rule 8210
Friday, January 25, 2013
Regulatory Notice 11-39
Guidance on Social Networking Websites and Business Communications
Thursday, August 18, 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 11-19
SEC Approves Consolidated FINRA Rules Governing Books and Records
Wednesday, April 27, 2011
Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Monday, January 25, 2010
Regulatory Notice 08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
Friday, December 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 07-64
SEC approves amendments to NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
Wednesday, December 19, 2007
Regulatory Notice 08-12
SEC Approves Amendment to NASD Rule 2210 to Create an Exception to the Principal Approval Requirements for Certain Filed Sales Material
Wednesday, March 26, 2008
Notice to Members 06-45
SEC Approves Amendments to NASD Rule 2211 to Require Principal Pre-Use Approval of Certain Member Correspondence Sent to 25 or More Existing Retail Customers within a 30 Calendar-Day Period
Thursday, August 24, 2006
Notice to Members 05-27
NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period
Wednesday, April 13, 2005
Notice to Members 05-48
Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers
Friday, July 22, 2005
Notice to Members 05-49
NASD Reminds Members of Their Obligations Relating to the Protection of Customer Information
Thursday, July 28, 2005
Notice to Members 05-18
NASD Issues Guidance on Section 1031 Tax-Deferred Exchanges of Real Property for Certain Tenants-in-Common Interests in Real Property Offerings
Wednesday, March 02, 2005
Notice to Members 98-11
SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence; Effective February 15, 1998
Thursday, January 01, 1998
Notice to Members 96-82
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Sunday, December 01, 1996
Notice to Members 01-80
Amendments to Broker/Dealer Books and Records Rules Under the Securities Exchange Act of 1934
Saturday, December 01, 2001
Notice to Members 03-33
Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging
Wednesday, June 18, 2003