Notices

Regulatory Notice 23-08
FINRA Reminds Members of Their Obligations When Selling Private Placements
Tuesday, May 09, 2023
Regulatory Notice 23-07
FINRA Adopts Amendments to FINRA Rule 8312 to Release Information on BrokerCheck Relating to Designation as a Restricted Firm
Tuesday, May 02, 2023
Information Notice - 4/27/23
March 2023 Options Disclosure Document
Thursday, April 27, 2023
Special Notice - 4/25/23
2023 Election Process Overview
Tuesday, April 25, 2023
Special Notice - 3/29/23
FINRA Encourages Engagement in Advisory Committees
Wednesday, March 29, 2023
Regulatory Notice 23-06
Heightened Threat of Fraud
Tuesday, March 28, 2023
Regulatory Notice 23-05
FINRA Revises the Research Analyst (Series 86/87) Exam Program
Monday, March 20, 2023
Information Notice - 3/15/23
FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program
Wednesday, March 15, 2023
Regulatory Notice 23-04
FINRA Issues Guidance in Connection With Failures of Silicon Valley Bank and Signature Bank
Tuesday, March 14, 2023
Regulatory Notice 23-03
GASB Accounting Support Fee
Tuesday, February 28, 2023
Information Notice 2/14/23
New Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, February 14, 2023
Regulatory Notice 23-02
FINRA Amends FINRA Rule 2231
Wednesday, January 18, 2023
Regulatory Notice 23-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Tuesday, January 03, 2023
Election Notice - 12/16/2022
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
Friday, December 16, 2022
Regulatory Notice 22-31
FINRA Shares Practices for Obtaining Customers’ Trusted Contacts
Thursday, December 15, 2022
Regulatory Notice 22-30
FINRA Re-opens Comment Period for Regulatory Notice 15-13 Seeking Comment on TAF Exemption for Proprietary Trading Firms
Thursday, December 15, 2022
Regulatory Notice 22-29
FINRA Alerts Firms to Increased Ransomware Risks
Wednesday, December 14, 2022
Regulatory Notice 22-28
FINRA Adopts Amendments to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Tuesday, December 13, 2022
Regulatory Notice 22-27
FINRA Adopts Enhancements to TRACE Reporting for U.S. Treasury Securities
Thursday, December 01, 2022
Regulatory Notice 22-26
FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades
Tuesday, November 29, 2022
Information Notice - 11/21/22
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Monday, November 21, 2022
Regulatory Notice 22-25
Heightened Threat of Fraud
Thursday, November 17, 2022
Information Notice 11/18/22
2023 Holiday Margin Extensions Schedule
Friday, November 18, 2022
Regulatory Notice 22-24
FINRA Amends Rule 11880 to Revise the Syndicate Account Settlement Timeframe for Offerings of Corporate Debt Securities
Tuesday, November 15, 2022
Information Notice - 11/11/22
2023 and First Quarter of 2024 Report Filing Due Dates
Friday, November 11, 2022