Notices Regulatory Notice 17-24FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt SecuritiesWednesday, July 12, 2017 Regulatory Notice 17-08SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency BondsWednesday, February 15, 2017 Regulatory Notice 15-46Guidance on Best Execution Obligations in Equity, Options and Fixed Income MarketsFriday, November 20, 2015 Regulatory Notice 15-36FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities TransactionsMonday, October 12, 2015 Regulatory Notice 15-31SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research ReportsWednesday, August 26, 2015 Regulatory Notice 15-27Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal SecuritiesThursday, July 30, 2015 Regulatory Notice 15-03FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory PurposesFriday, February 06, 2015 Regulatory Notice 10-41FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary MarketMonday, September 20, 2010 Regulatory Notice 09-35FINRA Recommends Review of Municipal Securities ActivitiesTuesday, June 30, 2009 Notice to Members 06-36NASD and NYSE Joint Interpretive Guidance on Fixed Income ResearchMonday, July 31, 2006
