On December 15, the Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice providing additional information on new FINRA rules regarding notification requirements and marketplace-specific rules related to Regulation M. The new rules, which were approved by the Securities and Exchange Commission in September and became effective on December 15, include new Regulation M notification requirements for firms participating in securities offerings, with such requirements applying uniformly to listed and unlisted securities. Firm notification forms are available on FINRA’s website.

http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p117501.pdf