Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Election Notice - 8/26/08 | Nominee for Vacant FINRA Board of Governors Small Firm Seat
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| Information Notice - 8/26/08 | June 2008 Supplement to the Options Disclosure Document
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| Regulatory Notice 08-45 | FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
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| Regulatory Notice 08-44 | SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Effective Date: September 22, 2008
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| Regulatory Notice 08-43 | SEC Approves Expanding Disseminated Real-Time TRACE Data
Effective Date: November 3, 2008
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| Regulatory Notice 08-42 | Guidance on Transactions in TRACE-Eligible Securities Under SEC Rule 144
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| Trade Reporting Notice - 8/14/08 | Trade Reporting Frequently Asked Questions
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| Regulatory Notice 08-41 | FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
Effective Date: August 1, 2008
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| Regulatory Notice 08-40 | Technology Changes for Reporting Certain Complaint and Disclosure Information
Effective Date: October 20, 2008
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| Regulatory Notice 08-39 | FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expires: September 30, 2008
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| Trade Reporting Notice - 7/28/08 | FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
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| Regulatory Notice 08-38 | FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
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| Regulatory Notice 08-37 | FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
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| Regulatory Notice 08-36 | SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions Effective Date: June 13, 2008
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| Regulatory Notice 08-35 | SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Effective Date: August 6, 2008
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| Regulatory Notice 08-34 | SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems Effective Date: August 1, 2008
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| Trade Reporting Notice - 7/1/08 | FINRA Announces the Effective Date of Modifications to the TRACE System
Effective Date: August 4, 2008
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| Regulatory Notice 08-33 | SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures Effective Date: June 6, 2008
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| Regulatory Notice 08-32 | FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Effective Date: November 17, 2008
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| Regulatory Notice 08-31 | SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders Effective Date: May 6, 2008
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| Regulatory Notice 08-30 | Guidance Relating to Illiquid Investments
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| Information Notice - 6/9/08 | Continuing Education Planning
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| Regulatory Notice 08-29 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Regulatory Notice 08-28 | SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
Effective Date: June 23, 2008
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| Regulatory Notice 08-27 | The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
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| Information Notice - 5/15/08 | April 2008 Supplement to the Options Disclosure Document
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| Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
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| Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
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| Regulatory Notice 08-25 | Proposed Consolidated FINRA Rules Governing Books and Records Requirements
Comment Period Expires: June 13, 2008
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| Regulatory Notice 08-24 | Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| Regulatory Notice 08-24 | Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| Regulatory Notice 08-23 | Proposed Consolidated FINRA Rules Governing Financial Responsibility
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| Regulatory Notice 08-22 | SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Effective June 9, 2008
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| Regulatory Notice 08-21 | FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
Comment Period Expired: May 27, 2008
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| Regulatory Notice 08-20 | FINRA Requests Comments on Proposed Changes to Forms U4 and U5
Comment Period Expires: May 27, 2008
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| Regulatory Notice 08-19 | SEC Approves Rule Change to Amend FINRA's Gross Income Assessment
Effective Date: January 1, 2008
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| Election Notice - 4/11/08 | Election Results for District Committees and District Nominating Committees
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| Regulatory Notice 08-18 | Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
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| Regulatory Notice 08-17 | Reporting of Customer Complaints Relating to Auction Rate Securities
Effective Date: April 1, 2008
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| Regulatory Notice 08-16 | Member Firm Disclosure and Supervisory Review Obligations
Effective Date: April 7, 2008
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