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1. FINRA Regulatory Notice 12-24 New Issue Allocations and Distributions
   FINRA Reminds Firms of Rule 5131(d)(4)’s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
   Date posted: 5/17/2012
2. FINRA Regulatory Notice 12-19 - Regulation M
   FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
   Date posted: 4/18/2012
3. MSRB Regulatory Notice 2012-21(April 17, 2012)
   REMINDER OF APRIL 30, 2012 EFFECTIVE DATE REGARDING CHANGES TO TRANSACTION REPORTING REQUIREMENTS
   Date posted: 4/18/2012
4. FINRA Regulatory Notice 12-17
   SEC Approves Consolidated Telemarketing Rule
   Date posted: 4/2/2012
5. FINRA Regulatory Notice 12-16
   Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
   Date posted: 3/29/2012
6. FINRA Information 03/08/12
   New Rate for Fees Paid Under Section 31 of the Exchange Act
   Date posted: 3/20/2012
7. FINRA Regulatory Notice 12-07
   Trade Reporting FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
   Date posted: 3/20/2012
8. FINRA Regulatory Notice 12-10
   FINRA BrokerCheck® FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
   Date posted: 3/20/2012
9. FINRA Regulatory Notice 12-11
   Supplemental FOCUS Information SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
   Date posted: 3/20/2012
10. FINRA Regulatory Notice 12-12
    Code of Procedure SEC Approves Amendments to FINRA’s Code of Procedure
    Date posted: 3/20/2012
11. FINRA Regulatory Notice 12-13
    Best Execution SEC Approves Consolidated FINRA Best Execution Rule
    Date posted: 3/20/2012
12. MSRB NOTICE 2012-05 (February 21, 2012)
    MSRB AND BDA TO CO-HOST MUNICIPAL SECURITIES REGULATION SEMINAR IN ST. LOUIS
    Date posted: 3/20/2012
13. FINRA Regulatory Notice 12-08
    Anti-Money Laundering Program SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
    Date posted: 3/20/2012
14. FINRA Regulatory Notice 12-14
    Customer Account Statements FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
    Date posted: 3/20/2012
15. FINRA Information 02/03/12
    New Rate for Fees Paid Under Section 31 of the Exchange Act
    Date posted: 3/16/2012
16. FINRA Information 03/01/12
    Revised Fee for Fingerprint Processing
    Date posted: 3/16/2012
17. FINRA Information 02/09/12
    January 2012 Supplement to the Options Disclosure Document
    Date posted: 3/16/2012
18. FINRA Regulatory Notice 12-04
    SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
    Date posted: 1/9/2012
19. FINRA Regulatory Notice 12-05
    Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
    Date posted: 1/9/2012
20. FINRA Regulatory Notice 12-06
    SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
    Date posted: 1/9/2012
21. FINRA Regulatory Notice 12-01
    Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
    Date posted: 1/7/2012
22. FINRA Regulatory Notice 12-02
    FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
    Date posted: 1/7/2012
23. FINRA Regulatory Notice 12-03
    Heightened Supervision of Complex Products
    Date posted: 1/7/2012
24. FINRA Regulatory Notice 11-49
    FINRA Provides Guidance on Advertising Regulation Issues
    Date posted: 12/7/2011
25. FINRA Regulatory Notice 11-52
    FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
    Date posted: 12/7/2011

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