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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
Information Notice 12/24/24
Completion of Historical CAT Cost Recovery Assessment 1
Information Notice - 12/24/24
Completion of Prospective CAT Cost Recovery Fee 2024-1
Regulatory Notice 24-17
FINRA Requests Comment on Proposed Changes to Corporate Financing Rules
Comment Period Expires: March 20, 2025
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
Information Notice 12/2/24
2025 Extensions of Time Filing Schedule
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
Information Notice 11/21/24
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Election Notice - 11/7/2024
FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: December 23, 2024
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)
Regulatory Notice 24-14
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2025
Payment Deadline: December 9, 2024
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
Regulatory Notice 24-12
FINRA Adopts Amendments to Rule 3240
Effective: April 28, 2025
Election Notice - 10/18/2024
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Voting Deadline: November 18, 2024
Election Notice - 10/18/2024
Notice of SFAC Election and Mailing of Ballots
Voting Deadline: November 18, 2024
Election Notice – 9/3/24
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 3, 2024
Election Notice – 9/3/24
Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 3, 2024
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
Election Notice - 8/12/2024
Notice of Annual Meeting of FINRA Firms and Election Proxy
Regulatory Notice 24-11
FINRA Announces Publication of Updated Interpretations of FINRA’s Margin Rule With Guide to the Updates
Effective: August 9, 2024
Regulatory Notice 24-10
FINRA Reminds Members of its Policy Prohibiting Members From Recording FINRA Calls and Meetings
Information Notice - 7/12/24
FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
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)
Regulatory Notice 24-09
FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence and Large Language Models
Information Notice 06/18/24
Options Disclosure Document
Election Notice - 06/14/2024
Nominees for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 29, 2024
Information Notice 05/01/24
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2024
Trade Reporting Notice 3/22/24
Advance Notice: Upcoming Trade Reporting Enhancements for Fractional Share Transactions
Regulatory Notice 24-08
FINRA Adopts Amendments Relating to Protected Option and Warrant Positions Under FINRA Rule 4210
Regulatory Notice 24-07
2024 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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
Regulatory Notice 24-05
FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities
Effective Date: June 30, 2024
Regulatory Notice 24-04
FINRA Adopts Amendments to Conform its Rules to the T+1 Settlement Cycle
Operative Date: May 28, 2024
Regulatory Notice 24-03
Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
Effective Date: March 4, 2024
Regulatory Notice 24-02
FINRA Adopts FINRA Rule 3110.19 (Residential Supervisory Location) and FINRA Rule 3110.18 (Remote Inspections Pilot Program), and Announces End of Temporary Relief Related to Updates of Office Information on Forms U4 and BR
Effective Date of Rule 3110.19 (Residential Supervisory Location): June 1, 2024; Effective Date of Rule 3110.18 (Remote Inspections Pilot Program): July 1, 2024; End of Regulatory Relief Described in Regulatory Notice 20-08: May 31, 2024
Regulatory Notice 24-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Regulatory Notice 23-21
FINRA Reminds Member Firms of Net Capital, Recordkeeping and Financial Reporting Requirements in Connection with Revenue Recognition Practices
Election Notice – 12/22/2023
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
Regulatory Notice 23-20
FINRA Highlights Available Guidance and Resources Related to Regulation Best Interest
Information Notice 11/20/23
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Election Notice – 11/15/2023
Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
Voting Ends: December 15, 2023
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