Notices

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
Election Notice - 06/14/2024
Nominees for Upcoming FINRA Board of Governors Election
Friday, June 14, 2024
Information Notice 05/01/24
New Rate for Fees Paid Under Section 31 of the Exchange Act
Wednesday, May 01, 2024
Special Notice – 4/19/24
2024 Election Process Overview
Friday, April 19, 2024
Trade Reporting Notice 3/22/24
Advance Notice: Upcoming Trade Reporting Enhancements for Fractional Share Transactions
Friday, March 22, 2024
Regulatory Notice 24-08
Margin Requirements
Tuesday, March 19, 2024
Regulatory Notice 24-07
GASB Accounting Support Fee
Tuesday, March 12, 2024
Regulatory Notice 24-06
Dissemination of Transactions in U.S. Treasury Securities
Friday, March 08, 2024

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