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Recent News for Product Knowledge

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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 09-53
    Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
    Date posted: 8/31/2009
  6. FINRA Regulatory Notice 09-42
    FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
    Date posted: 7/31/2009
  7. 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
  8. FINRA Regulatory Notice 08-73
    SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
    Date posted: 12/5/2008
  9. FINRA Regulatory Notice 07-53
    November 6, 2007 - SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions - On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
    Date posted: 11/12/2007
  10. FINRA Regulatory Notice 07-36
    August 13, 2007 - FINRA Clarifies Guidance Relating to SEC Regulation S-P under Notice to Members 07-06 (Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products) - In February 2007, FINRA (f/k/a NASD) issued NTM 07-06, which describes special considerations firms should use to supervise recommendations of newly hired registered representatives to replace mutual funds and variable products. This Notice clarifies the guidance in NTM 07-06 regarding SEC Regulation S-P.
    Date posted: 8/14/2007
  11. NASD Notice to Members 07-06
    February 14, 2007 - Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products - Registered representatives with an established customer base may, from time to time, change their association from one firm to another and may wish to bring with them customer assets, including mutual funds and variable products. In some cases these mutual funds or variable products may be held directly with the product issuer or they may be proprietary to the representative’s prior firm and the sponsor may not permit them to be transferred into the customer’s account at the new firm. Even nonproprietary products may not be freely transferable if the sponsor does not have a dealer or servicing agreement with the new firm.
    Date posted: 2/14/2007

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