Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Regulatory Notice 25-02 | Guidance to Members Affected by California Wildfires
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| Election Notice - 1/10/2025 | Notice of Election and Ballots for FINRA Large Firm and Small Firm NAC Member Seats
Voting Ends: February 10, 2025
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| Information Notice - 1/3/25 | Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
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| Regulatory Notice 25-01 | Broker-Dealer and Investment Adviser Renewals for 2025
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Regulatory Notice 24-18 | Unexpected Close of Securities Markets
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| Election Notice - 12/30/2024 | FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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| Information Notice - 12/24/24 | Completion of Prospective CAT Cost Recovery Fee 2024-1
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| Information Notice 12/24/24 | Completion of Historical CAT Cost Recovery Assessment 1
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| Regulatory Notice 24-17 | FINRA Requests Comment on Proposed Changes to Corporate Financing Rules
Comment Period Expires: March 20, 2025
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| Regulatory Notice 24-16 | Amendments Relating to the Applicability of the Document Production Lists to Simplified Customer Arbitrations Administered Under Rule 12800
Effective Date: March 3, 2025
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| ORF Technical Notice | FINRA Updates the OTC Equities High Price Dissemination List
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| Information Notice 12/2/24 | 2025 Extensions of Time Filing Schedule
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| Regulatory Notice 24-15 | FINRA Adopts Amendments to the Codes of Arbitration Procedure to Provide Customers With a Copy of the Official Record of an Expungement Hearing
Effective Date: December 1, 2024
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| Information Notice 11/21/24 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Election Notice - 11/7/2024 | FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: December 23, 2024
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| Information Notice 11/5/24 | 2025 and First Quarter of 2026 Report Filing Due Dates
Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); Supplemental Inventory Schedule (SIS); and Supplemental Liquidity Schedule (SLS)
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| Regulatory Notice 24-14 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2025
Payment Deadline: December 9, 2024
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| Regulatory Notice 24-13 | FINRA Requests Comment on the Effectiveness and Efficiency of its Requirements Relating to Day Trading
Comment Period Expires: January 28, 2025
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| Regulatory Notice 24-12 | FINRA Adopts Amendments to Rule 3240
Effective: April 28, 2025
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| Election Notice - 10/18/2024 | Notice of SFAC Election and Mailing of Ballots
Voting Deadline: November 18, 2024
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| Election Notice - 10/18/2024 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Voting Deadline: November 18, 2024
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| Election Notice – 9/3/24 | Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 3, 2024
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| Election Notice – 9/3/24 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 3, 2024
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| Election Notice - 8/19/2024 | FINRA Announces Nomination Process to Fill Upcoming Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: October 3, 2024
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| Election Notice - 8/12/2024 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Regulatory Notice 24-11 | FINRA Announces Publication of Updated Interpretations of FINRA’s Margin Rule With Guide to the Updates
Effective: August 9, 2024
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| Regulatory Notice 24-10 | FINRA Reminds Members of its Policy Prohibiting Members From Recording FINRA Calls and Meetings
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| Information Notice - 7/12/24 | FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
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| Information Notice - 7/1/24 | Members of the U.S. Subgroup of the Intermarket Surveillance Group (ISG) Highlight Role of the Cross-Market Regulation Working Group (CMRWG)
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| Regulatory Notice 24-09 | FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence and Large Language Models
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| Information Notice 06/18/24 | Options Disclosure Document
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| Election Notice - 06/14/2024 | Nominees for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 29, 2024
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| Information Notice 05/01/24 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2024
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| Special Notice – 4/19/24 | 2024 Election Process Overview
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| Trade Reporting Notice 3/22/24 | Advance Notice: Upcoming Trade Reporting Enhancements for Fractional Share Transactions
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| Regulatory Notice 24-08 | FINRA Adopts Amendments Relating to Protected Option and Warrant Positions Under FINRA Rule 4210
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| Regulatory Notice 24-07 | 2024 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 24-06 | FINRA Adopts Amendments to Enhance Post-Trade Transparency in the U.S. Treasury Securities Market
Effective Dates: FINRA Rules 6710(ll), 6750(a), (c), (d) and Supplementary Material .01, and 7730(g)(6): March 25, 2024; FINRA Rule 7730(d) and (g)(4): April 1, 2024
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| Special Notice – 2/27/24 | FINRA Encourages Engagement in Advisory Committees
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| Regulatory Notice 24-05 | FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities
Effective Date: June 30, 2024
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