Notices Regulatory Notice 18-12Regulatory Notice 18-12Tuesday, April 17, 2018 Regulatory Notice 16-10Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities MarketMonday, April 04, 2016 Regulatory Notice 15-27Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal SecuritiesThursday, July 30, 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 04-95NASD Issues Reminder to Members Regarding the Municipal Securities Rulemaking Board's Implementation of Real-Time Reporting and Dissemination of Transactions in Municipal SecuritiesTuesday, December 28, 2004 Notice to Members 00-08NASD Reminds Members of Their Obligations Regarding Municipal Securities Transaction ReportingMonday, January 10, 2000 Notice to Members 03-17Sales Material for Municipal Fund SecuritiesMonday, March 24, 2003 Notice to Members 04-30NASD Reminds Firms of Sales Practice Obligations In Sale of Bonds and Bond FundsTuesday, April 13, 2004
