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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| Regulatory Notice 07-36 | FINRA Clarifies Guidance Relating to SEC Regulation S-P under Notice to Members 07-06 (Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products)
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| Regulatory Notice 07-35 | Extension of Temporary Relief from NYSE Rule 409(f) (Statements of Accounts to Customers) to January 1, 2008
This Notice was updated on 12/13/07 to reflect non-substantive changes. |
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| Regulatory Notice 07-34 | SEC Approves Amendments Relating to the Issuer-Directed Provisions of Rule 2790
Effective Date: September 5, 2007
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| Regulatory Notice 07-33 | FINRA Adopts Rule Amendments Relating to Non-Tape (or Clearing-Only) Reports for Previously Executed Trades
(Including Step-outs, Reversals and Riskless Principal Transactions) Effective Date: September 4, 2007
Notice 07-33 has been superseded by Notice 07-38 |
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| Election Notice - 8/3/07 | Nominees for FINRA Board of Governors
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| Notice to Members 07-32 | NASD Amends Rule 3013 and Interpretive Material 3013 to Permit Members to Designate Co-Chief Executive Officers and Multiple Chief Compliance Officers
Compliance Date: July 16, 2007
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| Notice to Members 07-31 | NASD Rule Changes to Conform with Amendments to SEC Rule 10a-1 and Regulation SHO
Compliance Date: July 6, 2007
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| Notice to Members 07-30 | NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications
Comment Period Expires July 13, 2007
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| Notice to Members 07-29 | SEC Approves Rule 2342 Setting Forth Requirements for Providing SIPC Information to Customers
Effective Date: November 6, 2007
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| Notice to Members 07-28 | SEC Approves Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
Effective Date: July 5, 2007
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| Notice to Members 07-27 | NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings
Comment Period Expires July 20, 2007
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| Notice to Members 07-26 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Notice to Members 07-25 | NASD Provides Guidance Concerning Trade Reporting Obligations for Transactions in Foreign Securities and American Depositary Receipts
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| Notice to Members 07-24 | New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG)
Effective September 2007
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| Notice to Members 07-23 | NASD Trade Reporting Requirements Related to Regulation NMS
See Trade Reporting Notice 2/24/09 for updates to Regulation NMS trade reporting requirements. |
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| Notice to Members 07-22 | NASD Establishes New OTC Equity Trade and Quote Halt Codes
Effective Date: May 7, 2007
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| Notice to Members 07-21 | Reporting of Transactions in TRACE-Eligible Securities With Execution Dates More Than T+365 Days Before Date of Report
TRACE System Enhancement Effective on June 4, 2007
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| Notice to Members 07-20 | NASD Amends Rules 1012 and 1013 to Require Applicants for Membership to Submit Applications Using Online Form NMA
Implementation Date: May 7, 2007; Compliance Date: May 31, 2007
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| Notice to Members 07-19 | SEC Approves Amendments to Expand IM-2110-2 to Include OTC Equity Securities
Effective Date: July 26, 2007
Please note: The effective date of the expansion of IM-2110-2 to include OTC equity securities, which was approved as part of SR-NASD-2005-146, is delayed until 60 days after SEC approval of the proposed changes in SR-NASD-2007-041. Certain other amendments approved as part of SR-NASD-2005-146 became effective on July 26, 2007. For further information, see SR-FINRA-2007-038. See also File Nos. SR-FINRA-2007-023 and SR-NASD-2007-039. |
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| Notice to Members 07-18 | SEC Approves Amendments to TRACE Reporting Exempting Trades in TRACE-Eligible Securities Conducted on a Facility of, and Reported to, the New York Stock Exchange
Effective Date: January 9, 2007
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| Notice to Members 07-17 | NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
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| Notice to Members 07-16 | Frequently Asked NASD Financial and Operational Questions
This version reflects changes to the answers to QA-2 and QB-8. |
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| Notice to Members 07-15 | SEC Approves Amendments to TRACE Rules to Reflect the Availability of TRACE "Snapshot" Data for a Reduced Monthly Fee
Effective Date: May 1, 2007
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| Notice to Members 07-14 | Portfolio Margin Risk Disclosure Statement and Written Acknowledgement to be Furnished to Customers Using a Portfolio Margin Account
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| Notice to Members 07-13 | SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators
Effective Date: April 2, 2007
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| Notice to Members 07-12 | NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE
Comment Period Expires April 9, 2007
The comment period was extended to April 9, 2007. |
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| Notice to Members 07-11 | Amendment to Margin Rules to Establish a Portfolio Margin Pilot Program
Effective Date: April 2, 2007
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| Notice to Members 07-10 | SEC Approves Changes to NASD Interpretive Material 8310-2 Regarding the Release of Information through NASD BrokerCheck
Effective Date: March 19, 2007
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| Notice to Members 07-09 | SEC Approves Amendments to NASD Rules to Modify and Expand NASD's Authority to Initiate Trading and Quotation Halts in Over-the-Counter (OTC) Equity Securities
Effective Date: March 16, 2007
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| Notice to Members 07-08 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Notice to Members 07-07 | SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Effective Date: April 16, 2007
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| Notice to Members 07-06 | Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
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| Notice to Members 07-05 | Amendments to the Fees for Filing Offering Documents by Well-Known Seasoned Issuers Pursuant to the Corporate Financing Rule
Effective Date: February 26, 2007
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| Notice to Members 07-04 | Codification of Interpretations to Rule 2711
Implementation Date: September 27, 2006
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| Notice to Members 07-03 | NASD Announces SEC Approval of Amendments to Rule 2860 and Issues Guidance Concerning Large Options Position Reports and Aggregation of Certain Positions
Effective Date of Amendments February 12, 2007
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| Notice to Members 07-02 | SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD's Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com
Effective Date: July 7, 2007
The effective date has been extended to October 31, 2007. |
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| Notice to Members 07-01 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
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| Notice to Members 06-74 | Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
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| Notice to Members 06-73 | 2007 Trade Date — Settlement Date Schedule
This Notice was updated on 10/12/07 to include the trade date and settlement dates for Veterans Day, and also updated on 10/4/07 to correct the Columbus Day settlement dates for the October 4 and 5 trade dates. |
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| Notice to Members 06-72 | Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing
Revised Effective Date: May 31, 2007
NTM 06-72 supersedes NTM 06-60 |