Notices

Regulatory Notice 25-07
FINRA Requests Comment on Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces
Monday, April 14, 2025
Regulatory Notice 22-31
FINRA Shares Practices for Obtaining Customers’ Trusted Contacts
Thursday, December 15, 2022
Regulatory Notice 22-05
FINRA Adopts Amendments to FINRA Rule 2165
Tuesday, February 15, 2022
Regulatory Notice 20-38
FINRA Adopts Rule to Limit a Registered Person From Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Thursday, October 29, 2020
Regulatory Notice 20-34
Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Monday, October 05, 2020
Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Friday, August 09, 2019
Regulatory Notice 17-11
SEC Approves Rules Relating to Financial Exploitation of Seniors
Thursday, March 30, 2017
Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Monday, April 18, 2016
Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Friday, November 11, 2011
Regulatory Notice 09-42
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
Thursday, July 30, 2009
Regulatory Notice 07-43
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
Monday, September 10, 2007