Notices

Regulatory Notice 20-18
FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
Friday, June 19, 2020
Regulatory Notice 20-14
Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products
Friday, May 15, 2020
Regulatory Notice 18-13
FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Friday, April 20, 2018
Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Tuesday, September 08, 2015
Regulatory Notice 13-31
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Wednesday, September 25, 2013
Regulatory Notice 12-55
Guidance on FINRA’s Suitability Rule
Monday, December 10, 2012
Regulatory Notice 12-25
Additional Guidance on FINRA’s New Suitability Rule
Friday, May 18, 2012
Regulatory Notice 11-39
Guidance on Social Networking Websites and Business Communications
Thursday, August 18, 2011
Regulatory Notice 11-25
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Wednesday, May 18, 2011
Regulatory Notice 11-02
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Monday, January 10, 2011
Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Tuesday, April 20, 2010
Regulatory Notice 07-43
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
Monday, September 10, 2007
Notice to Members 06-38
Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
Wednesday, August 09, 2006
Notice to Members 05-26
NASD Recommends Best Practices for Reviewing New Products
Wednesday, April 06, 2005
Notice to Members 04-89
NASD Alerts Members to Concerns When Recommending or Facilitating Investments of Liquefied Home Equity
Wednesday, December 08, 2004
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 96-60
Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities
Sunday, September 01, 1996
Notice to Members 96-32
Members Reminded to Use Best Practices When Dealing in Speculative Securities
Wednesday, May 01, 1996
Notice to Members 01-23
Suitability Rule and Online Communications
Sunday, March 18, 2001
Notice to Members 03-07
NASD Reminds Members of Obligations When Selling Hedge Funds
Thursday, January 23, 2003
Notice to Members 04-30
NASD Reminds Firms of Sales Practice Obligations In Sale of Bonds and Bond Funds
Tuesday, April 13, 2004