Personnel Background Investigations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Article III, Sections 3 and 4 of the FINRA By-Laws
NASD Rule 3010(e)
NTM 97-19
NTM 05-39
NYSE Interpretation Handbook Rule 345.11/01
NYSE Rule 345.11
NYSE Rule 346b
Suggested Routing
Compliance
Executive Representatives
Human Resources
Legal
Operations
Principals
Registered
SEC Approves New NASD Rule 2290 Regarding Fairness Opinions
On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
Technology Changes for Reporting Certain Complaint
and Disclosure Information
FINRA is changing the effective date for reporting equity-linked notes from August 4, 2008, to November 3, 2008.
Proposed New Rules Governing Communications About Variable Insurance Products; Comment Period Expired: September 30, 2008
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Regulatory Notice 08-37 - FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
Regulatory Notice 08-36 - SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
