Notices

Regulatory Notice 19-08
Guidance on FOCUS Reporting for Operating Leases
Tuesday, March 19, 2019
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Tuesday, February 12, 2019
Regulatory Notice 19-02
FINRA Updates Supplemental Statement of Income
Tuesday, January 08, 2019
Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Tuesday, December 18, 2018
Regulatory Notice 18-39
Unexpected Close of Securities Markets
Monday, December 03, 2018
Regulatory Notice 18-38
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Monday, November 05, 2018
Regulatory Notice 18-31
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Friday, September 14, 2018
Regulatory Notice 18-30
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
Thursday, September 13, 2018
Regulatory Notice 18-20
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Friday, July 06, 2018
Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Thursday, May 03, 2018
Regulatory Notice 18-10
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Friday, March 23, 2018
Regulatory Notice 18-07
Extension of Time Requests Relating to FINRA Rule 4210
Wednesday, February 14, 2018
Regulatory Notice 18-03
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Wednesday, January 10, 2018
Regulatory Notice 18-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Monday, January 08, 2018
Regulatory Notice 17-28
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
Friday, September 29, 2017
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey
Wednesday, August 30, 2017
Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Thursday, May 11, 2017
Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Friday, April 07, 2017
Regulatory Notice 17-07
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Friday, February 10, 2017
Regulatory Notice 16-31
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Friday, August 12, 2016
Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Wednesday, April 20, 2016
Regulatory Notice 16-11
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Tuesday, April 05, 2016
Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Friday, March 04, 2016
Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Tuesday, January 26, 2016
Regulatory Notice 15-33
Guidance on Liquidity Risk Management Practices
Tuesday, September 15, 2015