Notices Regulatory Notice 22-05FINRA Adopts Amendments to FINRA Rule 2165Tuesday, February 15, 2022 Regulatory Notice 20-38FINRA Adopts Rule to Limit a Registered Person From Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a CustomerThursday, October 29, 2020 Regulatory Notice 20-34Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review ReportMonday, October 05, 2020 Regulatory Notice 19-27FINRA Requests Comment on Rules and Issues Relating to Senior InvestorsFriday, August 09, 2019 Regulatory Notice 17-11SEC Approves Rules Relating to Financial Exploitation of SeniorsThursday, March 30, 2017 Regulatory Notice 16-12FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream ProductsMonday, April 18, 2016 Regulatory Notice 11-52FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior DesignationsFriday, November 11, 2011 Regulatory Notice 09-42FINRA Reminds Firms of Their Obligations With Variable Life Settlement ActivitiesThursday, July 30, 2009 Regulatory Notice 07-43FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these CustomersMonday, September 10, 2007
