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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| Notice to Members 06-71 | Clarification of Exemption for Market Makers Acting in the Capacity of Exchange Market Maker and Interpretive Guidance Relating to Riskless Principal Transactions
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| For Your Information - December 2006 | For Your Information
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| Notice to Members FYI December 2006 | For Your Information
This version has been updated with more detailed information about each filing. |
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| Notice to Members 06-70 | SEC Approves Amendments Expanding the OATS Requirements to OTC Equity Securities and NASD Publishes Revised OATS Reporting Technical Specifications
Effective Date: June 11, 2007
The effective date has been extended to February 4, 2008. |
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| Notice to Members 06-69 | NASD Issues Additional Guidance on Rule 3060 (Influencing or Rewarding Employees of Others)
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| Notice to Members 06-68 | SEC Approves Amendments to Rule 2340 to Allow DVP/RVP Customers to Elect Not to Receive Account Statements
Effective Date: November 22, 2006
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| Notice to Members 06-67 | SEC Approves Amendments to NASD Rules to Align Them with Regulation NMS
Effective Date: Regulation NMS Trading Phase Date, Currently Scheduled to Occur February 5, 2007.The SEC has extended the Trading Phase Date to March 5, 2007.
The SEC has extended the Trading Phase Date to March 5, 2007. |
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| Notice to Members 06-66 | NASD Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
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| Notice to Members 06-65 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
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| Notice to Members 06-64 | SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
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| Notice to Members 06-63 | Amendments to Registration Rules Extending the Date by which Eligible Registrants must Complete Continuing Education Program before Engaging in Security Futures Activities
Effective Date: November 15, 2006
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| Notice to Members 06-62 | SEC Approves Rule 3160 Regarding Submission and Reporting Requirements for Regulation T and SEC Rule 15c3-3 Extension of Time Requests
Effective Date: March 1, 2007
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| Notice to Members 06-61 | SEC Approves Rule 3170 Requiring Members to Electronically File with or Otherwise Submit to NASD Specified Regulatory Notices or Other Documents
Effective Date: December 6, 20061
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| Notice to Members 06-60 | SEC Approves Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing
Effective Date: March 6, 2007
NTM 06-60 has been superseded by NTM 06-72 |
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| Notice to Members 06-59 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
Payment Deadline: December 8, 2006
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| Notice to Members 06-58 | SEC Approves Amendments to Rule 2320(a) Regarding Best Execution and New Interpretive Material 2320
Effective Date: November 8, 2006
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| Notice to Members 06-57 | SEC Approves Exemption to NASD Rule 5100 (Short Sale Rule) for Securities Included in the NASDAQ-100 Index
Effective Date: October 9, 2006
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| Notice to Members 06-56 | SEC Approves Amendments to the Safe Harbor for Business Expansions
Effective Date: November 3, 2006
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| Notice to Members 06-55 | NASD Revises Sanction Guidelines to Further Address Consideration of a Firm's Size
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| Notice to Members 06-54 | Amendments to Option Disclosure Documents Delivery Requirements in Rule 2860
Implementation Date: October 26, 2006
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| Notice to Members 06-53 | Guidance on the Requirements for Availability of Bona Fide Market Making Activity Exception to NASD Rule 5100
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| Notice to Members 06-52 | NASD Requests Comment on Proposed Amendments to Rules Governing Conflicts of Interest in Public Offerings of Securities
Comment Period Expires October 30, 2006
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| Notice to Members 06-51 | Amendments to Option Exercise Procedures in Rule 2860
Effective Date: October 12, 2006
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| Notice to Members 06-50 | NASD Reminds Members of Their Obligation to Provide Accurate Information to Services that Disseminate Trading Volume and Trading Interest
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| Notice to Members 06-49 | NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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| Notice to Members 06-48 | SEC Approves Amendments to NASD Rules 2210 and 2211 to Require Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Effective Date: April 1, 2007
This Notice has been updated to correct the rule reference at the top of page 4 to 2210(d)(3)(B). |
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| Notice to Members 06-47 | SEC Approves New Rule 2441 Requiring Disclosure and Consent When Trading on a Net Basis with Customers
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| Notice to Members 06-46 | Extension of Pilot Program Increasing Position and Exercise Limits for Stock Options
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| Notice to Members 06-45 | SEC Approves Amendments to NASD Rule 2211 to Require Principal Pre-Use Approval of Certain Member Correspondence Sent to 25 or More Existing Retail Customers within a 30 Calendar-Day Period
Effective Date: December 1, 2006
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| Notice to Members 06-44 | Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker (This Notice supersedes Notice to Members 06-37)
This Notice supersedes Notice to Members 06-37. |
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| Notice to Members 06-43 | NASD Announces Nominees for Regional Industry Member Seats on the National Adjudicatory Council
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| Notice to Members 06-40 | Nominees for District Committee and District Nominating Committee
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| Notice to Members 06-42 | Pilot Program to Permit Additional Market Participant Identifier Functionality on the Alternative Display Facility
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| Notice to Members 06-41 | Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
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| Notice to Members 06-39 | SEC Approves Amendments Relating to Automated Reporting of Transactions Subject to Regulatory Transaction Fee
Effective Date: December 1, 2006
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| Notice to Members 06-38 | Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
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| Notice to Members 06-37 | Exemption for Registered NASDAQ Market Makers Acting in the Capacity of Exchange Market Maker (This Notice is superseded by Notice to Members 06-44)
This Notice is superseded by Notice to Members 06-44. |
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| Notice to Members 06-36 | NASD and NYSE Joint Interpretive Guidance on Fixed Income Research
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| Notice to Members 06-35 | Revisions to the Series 22, 27, 28, 39 and 55 Examination Programs
Implementation Date: August 15, 2006
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| Notice to Members 06-34 | Technical Changes in the Reporting of Statistical and Summary Information Regarding Customer Complaints and Disclosure Events pursuant to Rule 3070
This NTM has been revised to reflect an extension of the effective date to December 15, 2006, and to correct certain non-substantive text. |