Notices

Regulatory Notice 24-04
FINRA Adopts Amendments to Conform its Rules to the T+1 Settlement Cycle
Monday, February 26, 2024
Special Notice – 2/27/24
FINRA Encourages Engagement in Advisory Committees
Tuesday, February 27, 2024
Regulatory Notice 24-05
FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities
Monday, February 26, 2024
Regulatory Notice 24-03
Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
Tuesday, February 06, 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
Tuesday, January 23, 2024
Regulatory Notice 24-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Tuesday, January 02, 2024
Election Notice – 12/22/2023
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
Friday, December 22, 2023
Regulatory Notice 23-21
FINRA Reminds Member Firms of Net Capital, Recordkeeping and Financial Reporting Requirements in Connection with Revenue Recognition Practices
Friday, December 22, 2023
Regulatory Notice 23-20
FINRA Highlights Available Guidance and Resources Related to Regulation Best Interest
Tuesday, December 05, 2023
Information Notice 11/20/23
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Monday, November 20, 2023
Election Notice – 11/15/2023
Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
Wednesday, November 15, 2023
Regulatory Notice 23-19
FINRA Adopts a Short-Form Membership Application Process for Certain Firms That Must Become FINRA Members due to Amended SEA Rule 15b9-1
Thursday, November 09, 2023
Information Notice 11/2/23
FINRA Reminds Firms of Continuing Education Firm Element Rule Changes
Thursday, November 02, 2023
Information Notice 11/1/23
2024 and First Quarter of 2025 Report Filing Due Dates
Wednesday, November 01, 2023
Regulatory Notice 23-18
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2024
Tuesday, October 31, 2023
Regulatory Notice 23-17
FINRA Discontinues Collection of INSITE Data From Clearing Firms
Monday, October 30, 2023
Election Notice - 10/23/2023
Notice of SFAC Election and Mailing of Ballots
Monday, October 23, 2023
Election Notice - 10/23/2023
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Monday, October 23, 2023
Regulatory Notice 23-16
FINRA Adopts TAF Exemption for Proprietary Trading Firms
Wednesday, October 18, 2023
Election Notice - 9/25/2023
FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Monday, September 25, 2023
Election Notice – 9/11/23
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Monday, September 11, 2023
Election Notice – 9/11/23
Call for Candidates for Upcoming FINRA Regional Committee Elections
Monday, September 11, 2023
Regulatory Notice 23-15
Regulatory Extension (REX) System Update
Tuesday, September 05, 2023
Regulatory Notice 23-14
Amendments to Covered Agency Transaction Requirements under FINRA Rule 4210; Announcement of Effective Date
Friday, August 18, 2023
Regulatory Notice 23-13
Code of Procedure
Wednesday, August 16, 2023