Notices

Information Notice - 12/24/24
Completion of Prospective CAT Cost Recovery Fee 2024-1
Tuesday, December 24, 2024
Information Notice 12/24/24
Completion of Historical CAT Cost Recovery Assessment 1
Tuesday, December 24, 2024
Regulatory Notice 24-17
FINRA Requests Comment on Proposed Changes to Corporate Financing Rules
Friday, December 20, 2024
Regulatory Notice 24-16
Amendments Relating to the Applicability of the Document Production Lists to Simplified Customer Arbitrations Administered Under Rule 12800
Tuesday, December 17, 2024
ORF Technical Notice
FINRA Updates the OTC Equities High Price Dissemination List
Friday, December 13, 2024
Information Notice 12/2/24
2025 Extensions of Time Filing Schedule
Monday, December 02, 2024
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
Tuesday, November 26, 2024
Information Notice 11/21/24
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Thursday, November 21, 2024
Information Notice 11/5/24
2025 and First Quarter of 2026 Report Filing Due Dates
Tuesday, November 05, 2024
Election Notice - 11/7/2024
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Thursday, November 07, 2024
Regulatory Notice 24-13
Retrospective Rule Review: Day Trading
Tuesday, October 29, 2024
Regulatory Notice 24-12
FINRA Adopts Amendments to Rule 3240
Wednesday, October 23, 2024
Regulatory Notice 24-14
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2025
Thursday, October 31, 2024
Election Notice - 10/18/2024
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Friday, October 18, 2024
Election Notice - 10/18/2024
Notice of SFAC Election and Mailing of Ballots
Friday, October 18, 2024
Election Notice – 9/3/24
Call for Candidates for Upcoming FINRA Regional Committee Elections
Tuesday, September 03, 2024
Election Notice – 9/3/24
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Tuesday, September 03, 2024
Election Notice - 8/19/2024
FINRA Announces Nomination Process to Fill Upcoming Vacancy on the National Adjudicatory Council
Monday, August 19, 2024
Regulatory Notice 24-11
FINRA Announces Publication of Updated Interpretations of FINRA’s Margin Rule With Guide to the Updates
Friday, August 09, 2024
Election Notice - 8/12/2024
Notice of Annual Meeting of FINRA Firms and Election Proxy
Monday, August 12, 2024
Regulatory Notice 24-10
Examination and Risk Monitoring Programs
Tuesday, July 30, 2024
Information Notice - 7/12/24
FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
Friday, July 12, 2024
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)
Monday, July 01, 2024
Regulatory Notice 24-09
Regulatory Obligations When Using Generative Artificial Intelligence and Large Language Models
Thursday, June 27, 2024
Information Notice 06/18/24
Options Disclosure Document
Tuesday, June 18, 2024

1
2
3
4
5
6
7
8
9
…
Next page
Last page