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Regulatory Notice 08-02
FINRA amended NYSE Rule 342.13 to eliminate the requirement that the General Securities Principal Examination (Series 24) be passed after July 1, 2001, in order to be recognized as an acceptable alternative to the General Securities Sales Supervisor Qualification Examination (Series 9/10) for persons whose duties do not include supervision of options or municipal securities sales activities.
Regulatory Notice 08-38
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Regulatory Notice 10-24
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Monthly Disciplinary Actions - January 2019
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Election Notice - 7/9/12
Notice of Annual Meeting of FINRA Firms and Proxy
Notice to Members 96-66
Executive Summary The Government Securities Act Amendments of 1993 (GSAA) eliminated the statutory limitations on NASD® authority to apply sales-practice rules to transactions in exempted securities, including government securities, other than municipals. On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments implementing the expanded sales-practice authority
Regulatory Notice 08-31
SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders
Monthly Disciplinary Actions - December 2018
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Regulatory Notice 07-37
Regulatory Notice Notice TypeRule Amendment Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31 Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining Key Topic(s)Exercise LimitsOptionsPosition Limits Options Position and Exercise Limits Executive Summary SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
Regulatory Notice 09-56
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees