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This document discusses the amendments to FINRA Rule 8312, which expands the information available through BrokerCheck regarding former brokers, including final regulatory actions, employment, and
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How to fill out regulatory notice 09-66
How to fill out Regulatory Notice 09-66
01
Obtain a copy of Regulatory Notice 09-66 from the appropriate regulatory authority.
02
Read the notice carefully to understand its purpose and requirements.
03
Gather all necessary information and documentation relevant to the findings stated in the notice.
04
Complete any required sections of the notice, ensuring that all provided information is accurate and up-to-date.
05
Double-check for any specific instructions regarding submission formats or additional enclosures.
06
Submit the filled-out Regulatory Notice 09-66 to the designated recipient by the specified deadline.
Who needs Regulatory Notice 09-66?
01
Financial firms and entities that are subject to regulations set forth by the authority issuing Regulatory Notice 09-66.
02
Compliance officers and legal teams within these firms who are responsible for regulatory adherence.
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What is a FINRA no objection letter?
No Objections Letter – When the review process is complete, FINRA issues a “No Objections” letter. A firm must receive a No Objections letter before it participates in a distribution of securities to investors.
What is a regulatory notice?
A regulatory notice is an official communication issued by a regulatory authority, such as a government agency or a financial institution, to inform individuals or organizations about new regulations, laws, policies, or guidelines.
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What is Regulatory Notice 09-66?
Regulatory Notice 09-66 is a notice issued by the Financial Industry Regulatory Authority (FINRA) that provides guidance on the regulatory obligations related to the use of certain marketing materials and communications in the financial services industry.
Who is required to file Regulatory Notice 09-66?
All FINRA member firms involved in the distribution of certain promotional or marketing materials must comply with the requirements outlined in Regulatory Notice 09-66.
How to fill out Regulatory Notice 09-66?
To fill out Regulatory Notice 09-66, firms must follow the specific guidelines provided in the notice regarding the types of information required, ensuring all applicable sections are completed accurately and submitted to FINRA as instructed.
What is the purpose of Regulatory Notice 09-66?
The purpose of Regulatory Notice 09-66 is to ensure that marketing communications by FINRA member firms are clear, accurate, and not misleading, thereby protecting investors and maintaining market integrity.
What information must be reported on Regulatory Notice 09-66?
The information that must be reported includes data regarding the content of marketing materials, the methodologies used for performance measures, disclosures necessary for compliance, and any other information specified by FINRA to fulfill disclosure obligations.
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