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1. FINRA Regulatory Notice 11-49
   FINRA Provides Guidance on Advertising Regulation Issues
   Date posted: 12/7/2011
2. 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
3. FINRA Regulatory Notice 11-47
   Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
   Date posted: 10/14/2011
4. MSRB NOTICE 2011-60 (October 13, 2011)
   MSRB FILES WITH THE SEC AMENDMENTS TO RULE G-16 TO FACILITATE RISK-BASED COMPLIANCE EXAMINATIONS AND AMENDMENTS TO RULE G-9, ON PRESERVATION OF RECORDS. Today, the MSRB filed with the Securities and Exchange Commission (“SEC”) a proposed rule change consisting of amendments to Rule G-16, on periodic compliance examination, and Rule G-9, on preservation of records, in order to facilitate the establishment of a risk-based compliance examination program for brokers, dealers, and municipal securities dealers (“dealers”) that are members of the Financial Industry Regulatory Authority (“FINRA”).[1]
   Date posted: 10/14/2011
5. MSRB Notice 2011-59 (October 5, 2011)
   MSRB TO HOST EDUCATION AND OUTREACH SEMINAR IN NEW YORK
   Date posted: 10/11/2011
6. FINRA Regulatory Notice 11-44
   FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
   Date posted: 10/7/2011
7. Finra Regulatory Notice 11-46
   FINRA to Require Electronic Submission of Annual Audit Reports Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011
   Date posted: 10/3/2011
8. FINRA Regulatory Notice 11-45 - Qualification Examinations
   FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
   Date posted: 9/30/2011
9. Trade Reporting Notice - 9/23/2011
   Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
   Date posted: 9/26/2011
10. FINRA Trade Reporting Notice - Trade Reporting Obligations
    FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
    Date posted: 9/26/2011
11. FINRA Regulatory Notice 11-43 - Indications of Interest
    FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest. Comment Period Expires: October 21, 2011
    Date posted: 9/21/2011
12. FINRA Regulatory Notice 11-43
    FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest. Comment Period Expires: October 21, 2011
    Date posted: 9/20/2011
13. FINRA Regulatory Notice 11-42
    Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
    Date posted: 9/16/2011
14. MSRB NOTICE 2011-54 (September 13, 2011)
    RULE CHANGES FILED WITH SEC REGARDING QUALIFICATION AS A MUNICIPAL SECURITIES REPRESENTATIVE AND INFORMATION CONCERNING ASSOCIATED PERSONS
    Date posted: 9/15/2011
15. FINRA Regulatory Notice 11-41 - Research Analysts and Research Reports
    FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
    Date posted: 9/13/2011
16. Regulatory Notice 11-40 - Trade Reporting
    SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution
    Date posted: 9/6/2011
17. Regulatory Notice 11-39 - Guidance on Social Networking Websites and Business Communications
    Social Media Websites and the Use of Personal Devices for Business Communications
    Date posted: 9/6/2011
18. FINRA Regulatory Notice 11-39
    Social Media Websites and the Use of Personal Devices for Business Communications
    Date posted: 8/26/2011
19. FINRA Regulatory Notice 11-36 - Testing and Continuing Education
    Changes to Fees for Canceling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
    Date posted: 8/8/2011
20. FINRA Regulatory Notice 11-37 - Trading Halts Due To Extraordinary Market Volatility
    Trading Pause Rule Expanded to All NMS Stocks Effective Date: August 8, 2011
    Date posted: 8/8/2011
21. FINRA Regulatory Notice 11-38 - Financial Responsibility
    Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long-Term Credit Rating by Standard & Poor’s
    Date posted: 8/8/2011
22. CBOE Regulatory Circular RG11-089
    Registration and Qualification Requirements Qualification Examination Waivers and Exemption for Restricted Access
    Date posted: 8/8/2011
23. FINRA Regulatory Notice 11-33 - Operations Professionals
    SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule. Effective Date: October 17, 2011
    Date posted: 7/27/2011
24. MSRB NOTICE 2011-34 (July 26, 2011)
    MSRB FILES PROPOSAL TO ESTABLISH INTERIM MUNICIPAL ADVISOR ASSESSMENT AND SEEKS COMMENT ON DRAFT MUNICIPAL ADVISOR SURVEY
    Date posted: 7/27/2011
25. FINRA Regulatory Notice 11-34 - Soliciting Business Internationally
    FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
    Date posted: 7/27/2011

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