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 |
|---|---|---|
| Regulatory Notice 08-29 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
|
| 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
|
|
| Regulatory Notice 08-27 | The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
|
|
| Information Notice - 5/15/08 | April 2008 Supplement to the Options Disclosure Document
|
|
| Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
|
|
| Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
|
|
| Regulatory Notice 08-25 | Proposed Consolidated FINRA Rules Governing Books and Records Requirements
Comment Period Expires: June 13, 2008
|
|
| 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
|
|
| 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
|
|
| Regulatory Notice 08-23 | Proposed Consolidated FINRA Rules Governing Financial Responsibility
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
|
|
| 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
|
|
| Regulatory Notice 08-21 | FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
Comment Period Expired: May 27, 2008
|
|
| Regulatory Notice 08-20 | FINRA Requests Comments on Proposed Changes to Forms U4 and U5
Comment Period Expires: May 27, 2008
|
|
| Regulatory Notice 08-19 | SEC Approves Rule Change to Amend FINRA's Gross Income Assessment
Effective Date: January 1, 2008
|
|
| Election Notice - 4/11/08 | Election Results for District Committees and District Nominating Committees
|
|
| Regulatory Notice 08-18 | Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
|
|
| Regulatory Notice 08-17 | Reporting of Customer Complaints Relating to Auction Rate Securities
Effective Date: April 1, 2008
|
|
| Regulatory Notice 08-16 | Member Firm Disclosure and Supervisory Review Obligations
Effective Date: April 7, 2008
|
|
| Regulatory Notice 08-15 | Foreign Research Analyst Exemption from the Research Analyst Qualification Examination
Effective Date: April 7, 2008
|
|
| Information Notice - 4/1/08 | FINRA Implements Changes to OTC Reporting Facility and OTC Bulletin Board Invoice Processes
Effective Date: April 1, 2008
|
|
| Regulatory Notice 08-14 | FINRA Implements New Electronic Form NMA Filing Requirement
Effective Date: February 29, 2008
The New Membership Application Form NMA Guide referred to in this Notice is now available in the FINRA Firm Gateway. |
|
| Regulatory Notice 08-13 | FINRA Consolidates the Collection of Short Interest Data
Effective Date Extended
The effective date of the consolidation of the collection of short interest data has been extended to June 30, 2008. As a result, the testing period for these changes has been extended to June 3, 2008. |
|
| 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
Effective Date: March 26, 2008
|
|
| Regulatory Notice 08-11 | Q&A on Electronic Filing Requirements of NASD Rule 3170
|
|
| Regulatory Notice 08-10 | FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options
Effective Date: February 28, 2008
|
|
| Trade Reporting Notice - 3/18/08 | Revised Policy for Disseminating Reports of Fewer Than 100 Shares
Effective Date: April 21, 2008
|
|
| Regulatory Notice 08-09 | FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
Effective Date: March 14, 2008
|
|
| Information Notice - 3/12/08 | Rulebook Consolidation Process
|
|
| Information Notice - 3/10/08 | Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act
Effective Date: April 1, 2008
|
|
| Regulatory Notice 08-08 | FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products
Effective Date: March 6, 2008
|
|
| Election Notice - 2/27/08 | Nominees for the District Committees and District Nominating Committees
|
|
| Trade Reporting Notice - 2/22/08 | FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
|
|
| Information Notice - 2/21/08 | FINRA Secures Relief for Member Firms for Certain Record Retention Requirements
Effective Date: February 19, 2008
|
|
| Trade Reporting Notice - 2/19/08 | Guidance on Reporting Electronic Communications Network (ECN) Transactions
|
|
| Regulatory Notice 08-07 | FINRA and NYSE Filed Rule Changes with the SEC to Amend FINRA's Gross Income Assessment and Eliminate Certain NYSE Fees
Effective Date: Upon SEC Approval With an Implementation Date of January 1, 2008
|
|
| Regulatory Notice 08-06 | SEC Approves Amendments to NASD Rule 11810(i) to Mandate the Use of the Automated Liability Notification System of a Registered Clearing Agency
Effective Date: March 13, 2008
|
|
| Regulatory Notice 08-05 | [Rescinded]
|
|
| Regulatory Notice 08-04 | FINRA Adopts Rule Amendments that Expand the Delta Hedging Exemptions for Options Positions Limits
Effective Date: February 1, 2008
|
|
| Regulatory Notice 08-03 | Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (Form U4), the Uniform Termination Notice for Securities Industry Registration (Form U5) and the Uniform Branch Office Registration Form (Form BR)
|
|
| Election Notice - 1/18/08 | Upcoming District Committee and District Nominating Committee Elections
This Notice was updated to correct the listings for the District Nominating Committees for Districts 3, 4 and 10. |