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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| Information Notice - 12/23/08 | 2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Regulatory Notice 08-82 | FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
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| Regulatory Notice 08-81 | FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
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| Regulatory Notice 08-80 | FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Comment Period Expires: January 29, 2009
The comment period was extended to February 27, 2009. |
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| Regulatory Notice 08-80 | FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Comment Period Expires: January 29, 2009
The comment period was extended to February 27, 2009. |
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| Regulatory Notice 08-79 | SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
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| Regulatory Notice 08-78 | FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
Effective Date: February 17, 2009
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| Regulatory Notice 08-78 | FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
Effective Date: February 17, 2009
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| Regulatory Notice 08-77 | Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
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| Regulatory Notice 08-76 | Technology Changes for Reporting Clearing Methods and Arrangements
Effective Date: December 15, 2008
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| Regulatory Notice 08-75 | Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
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| Regulatory Notice 08-74 | FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
Effective Date: December 15, 2008
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| Election Notice - 12/8/08 | FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
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| Information Notice - 12/8/08 | Continuing Application of NASD Rules and Incorporated NYSE Rules
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| Regulatory Notice 08-73 | SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications Effective Date: March 4, 2009
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| Regulatory Notice 08-72 | FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
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| Regulatory Notice 08-71 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Comment Period Expired: December 29, 2008
The comment period was extended to January 16, 2009. |
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| Regulatory Notice 08-71 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Comment Period Expired: December 29, 2008
The comment period was extended to January 16, 2009. |
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| Regulatory Notice 08-70 | FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
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| Regulatory Notice 08-69 | Alert to Member Firms About the Federal Trade Commission's FACT Act Regulations and the Announcement of the FTC's Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
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| Regulatory Notice 08-69 | Alert to Member Firms About the Federal Trade Commission's FACT Act Regulations and the Announcement of the FTC's Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
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| Election Notice - 11/21/08 | Notice of SFAB Election and Ballots
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| Regulatory Notice 08-68 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Comment Period Expires: December 18, 2008
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| Regulatory Notice 08-68 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Comment Period Expires: December 18, 2008
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| Information Notice - 11/12/08 | September 2008 Supplement to the Options Disclosure Document
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| Regulatory Notice 08-67 | FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests Effective Date: January 16, 2009
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| Regulatory Notice 08-66 | FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
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| Regulatory Notice 08-65 | FINRA Grants Additional,Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, & Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities
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| Information Notice - 11/3/08 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Regulatory Notice 08-64 | Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication Effective Date: November 11, 2008
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| Information Notice - 10/31/08 | Continuing Education Planning
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| Regulatory Notice 08-63 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Regulatory Notice 08-62 | SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
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| Election Notice - 10/24/08 | FINRA Notice of Special Meeting of Small Firms and Proxy
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| Regulatory Notice 08-61 | Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
Proposed Implementation Date: January 2, 2009
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| Information Notice - 10/22/08 | FINRA Survey to Update the Series 7 Exam
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| Regulatory Notice 08-60 | FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds Effective Date: October 21, 2008
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| Information Notice - 10/21/08 | New Account Application Template
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| Regulatory Notice 08-59 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009 Payment Deadline: December 12, 2008
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| Regulatory Notice 08-58 | Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
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