FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
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
Notice of SFAB Election and Ballots
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
September 2008 Supplement to the Options Disclosure Document
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
Effective February 5, 2009, firms may supervise "market letters" as correspondence rather than sales literature, unless the letters are distributed to 25 or more existing retail customers within any 30-calendar-day period and make a financial or investment recommendation or otherwise promote the firm's product or service.
FINRA is issuing this Notice to address certain requirements that apply to the per-share customer account statement values and dividend distributions of REITs and DPPs (collectively, "real estate investment programs") that are sold through broker-dealers, invest in real estate and do not trade on a national securities exchange.
Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
