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1. FINRA Regulatory Notice 10-25
   FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals; Comment Period Expires: July 12, 2010
   Date posted: 5/26/2010
2. FINRA Regulatory Notice 10-22
   Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
   Date posted: 4/20/2010
3. Regulatory Notice 10-20
   Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
   Date posted: 4/15/2010
4. Regulatory Notice 10-21
   SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
   Date posted: 4/15/2010
5. FINRA Regulatory Notice 10-19
   FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
   Date posted: 4/8/2010
6. CBOE RG10-046
   Market-Maker Joint Account Trading in Open Outcry
   Date posted: 4/7/2010
7. FINRA Regulatory Notice 10-18
   FINRA Issues Guidance on Master and Sub-Account Arrangements
   Date posted: 4/6/2010
8. CBOE Regulatory Circular 10-18
   Information Barriers of DPMs and eDPMs
   Date posted: 1/29/2010
9. MSRB Notice 2010-01
   SEC Approves Amendments To Rule G-37 And Rule G-8 Relating To Political Contributions
   Date posted: 1/26/2010
10. FINRA Regulatory Notice 10-06
    Guidance on Blogs and Social Networking Web Sites
    Date posted: 1/25/2010
11. FINRA Regulatory Notice 10-05
    FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
    Date posted: 1/21/2010
12. FINRA Regulatory Notice 10-04
    SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
    Date posted: 1/15/2010
13. FINRA Regulatory Notice 09-73
    FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
    Date posted: 12/17/2009
14. FINRA Regulatory Notice 09-67
    Regulatory Element Continuing Education Fees to Increase
    Date posted: 11/27/2009
15. SEC Release No. 34-61050
    Amendments to Rules for Nationally Recognized Statistical Rating Organizations
    Date posted: 11/23/2009
16. FINRA Regulatory Notice 09-64
    Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
    Date posted: 11/13/2009
17. NASAA Headline - The Most Dangerous Piece of Mail You’ll Get All Year is For a Free Lunch
    New AARP Survey Shows High Level of Concern About Impact of Financial Scams Among 55+ Population
    Date posted: 11/12/2009
18. FINRA Information Notice 11/9/09
    Changes to the S101 and S106 Regulatory Element Continuing Education Programs
    Date posted: 11/9/2009
19. CBOE Regulatory Circular RG09-122
    Supervision of Electronic Communications and Electronic Storage of Records
    Date posted: 10/28/2009
20. FINRA Regulatory Notice 09-60
    SEC Approval and Effective Dates for New Consolidated FINRA Rules
    Date posted: 10/23/2009
21. FINRA Regulatory Notice 09-61
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/23/2009
22. NASAA Outlines Best Practices For Investment Advisers
    Coordinated IA Examinations Spotlight Deficiencies in Key Areas
    Date posted: 9/29/2009
23. MSRB Notice 2009-50
    Notice Concerning Use of Electronic Confirmations Produced By a Clearing Agency or Qualified Vendor to Satisfy the Requirements of Rule G-15(a)
    Date posted: 9/16/2009
24. CBOE Regulatory Circular RG09-100
    Prearranged Trades
    Date posted: 9/10/2009
25. FINRA Regulatory Notice 09-53
    Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
    Date posted: 8/31/2009

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