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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. Regulatory Notice 10-20
   Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
   Date posted: 4/15/2010
3. 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
4. FINRA Regulatory Notice 10-19
   FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
   Date posted: 4/8/2010
5. CBOE Regulatory Circular 10-18
   Information Barriers of DPMs and eDPMs
   Date posted: 1/29/2010
6. FINRA Regulatory Notice 10-06
   Guidance on Blogs and Social Networking Web Sites
   Date posted: 1/25/2010
7. 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
8. FINRA Regulatory Notice 09-67
   Regulatory Element Continuing Education Fees to Increase
   Date posted: 11/27/2009
9. SEC Release No. 34-61050
   Amendments to Rules for Nationally Recognized Statistical Rating Organizations
   Date posted: 11/23/2009
10. 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
11. FINRA Information Notice 11/9/09
    Changes to the S101 and S106 Regulatory Element Continuing Education Programs
    Date posted: 11/9/2009
12. CBOE Regulatory Circular RG09-122
    Supervision of Electronic Communications and Electronic Storage of Records
    Date posted: 10/28/2009
13. FINRA Regulatory Notice 09-60
    SEC Approval and Effective Dates for New Consolidated FINRA Rules
    Date posted: 10/23/2009
14. FINRA Regulatory Notice 09-61
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/23/2009
15. NASAA Outlines Best Practices For Investment Advisers
    Coordinated IA Examinations Spotlight Deficiencies in Key Areas
    Date posted: 9/29/2009
16. 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
17. FINRA Regulatory Notice 09-49
    SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
    Date posted: 8/17/2009
18. FINRA Regulatory Notice 09-42
    FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
    Date posted: 7/31/2009
19. FINRA Regulatory Notice 09-41
    SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
    Date posted: 7/29/2009
20. FINRA Regulatory Notice 09-28
    FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
    Date posted: 7/16/2009
21. FINRA Regulatory Notice 09-31
    FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds.
    Date posted: 7/16/2009
22. FINRA Regulatory Notice 09-32
    SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities; Effective Date: February 8, 2010.
    Date posted: 7/16/2009
23. FINRA Regulatory Notice 09-35
    FINRA Recommends Review of Municipal Securities Activities.
    Date posted: 7/16/2009
24. CBOE Regulatory Circular RG 09 – 060
    Continuing Education Firm Element Advisory
    Date posted: 5/26/2009
25. FINRA Regulatory Notice 09-26
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 5/19/2009

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