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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 10-05
   FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
   Date posted: 1/21/2010
5. FINRA Regulatory Notice 09-67
   Regulatory Element Continuing Education Fees to Increase
   Date posted: 11/27/2009
6. SEC Release No. 34-61050
   Amendments to Rules for Nationally Recognized Statistical Rating Organizations
   Date posted: 11/23/2009
7. FINRA Regulatory Notice 09-64
   Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
   Date posted: 11/13/2009
8. 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
9. FINRA Information Notice 11/9/09
   Changes to the S101 and S106 Regulatory Element Continuing Education Programs
   Date posted: 11/9/2009
10. FINRA Regulatory Notice 09-60
    SEC Approval and Effective Dates for New Consolidated FINRA Rules
    Date posted: 10/23/2009
11. FINRA Regulatory Notice 09-61
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/23/2009
12. NASAA Outlines Best Practices For Investment Advisers
    Coordinated IA Examinations Spotlight Deficiencies in Key Areas
    Date posted: 9/29/2009
13. 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
14. FINRA Regulatory Notice 09-42
    FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
    Date posted: 7/31/2009
15. 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
16. 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
17. 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
18. CBOE Regulatory Circular RG 09 – 060
    Continuing Education Firm Element Advisory
    Date posted: 5/26/2009
19. FINRA Regulatory Notice 09-26
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 5/19/2009
20. FINRA Regulatory Notice 09-23
    SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure); Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
    Date posted: 5/15/2009
21. FINRA Regulatory Notice 08-74
    FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
    Date posted: 12/8/2008
22. CBOE Regulatory Circular RG08-156
    Gratuities Policy – Rule 4.4
    Date posted: 11/24/2008
23. FINRA Regulatory Notice 08-63
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/31/2008
24. NASAA Headline - 9/22/08
    Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
    Date posted: 9/22/2008
25. FINRA Regulatory Notice 08-29
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 6/2/2008

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