Notices

Regulatory Notice 19-06
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Monday, February 25, 2019
Information Notice – 2/13/19
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Wednesday, February 13, 2019
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Tuesday, February 12, 2019
Regulatory Notice 19-04
FINRA’s 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
Monday, January 28, 2019
Regulatory Notice 19-03
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
Friday, January 25, 2019
Trade Reporting Notice – 1/22/19
TRACE Reporting of OTC Transactions in Listed Bonds
Tuesday, January 22, 2019
Information Notice – 1/17/19
October 2018 Supplement to the Options Disclosure Document
Thursday, January 17, 2019
Trade Reporting Notice – 1/9/19
U.S. Treasury Security Auction Awards
Wednesday, January 09, 2019
Regulatory Notice 19-02
FINRA Updates Supplemental Statement of Income
Tuesday, January 08, 2019
Regulatory Notice 19-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Wednesday, January 02, 2019
Information Notice – 12/21/18
2019 Holiday Margin Extensions Schedule
Friday, December 21, 2018
Election Notice - 12/21/18
FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments
Friday, December 21, 2018
Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Tuesday, December 18, 2018
Regulatory Notice 18-41
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Monday, December 17, 2018
Regulatory Notice 18-40
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Monday, December 10, 2018
Information Notice – 12/4/18
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Tuesday, December 04, 2018
Regulatory Notice 18-39
Unexpected Close of Securities Markets
Monday, December 03, 2018
Information Notice – 11/20/18
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Tuesday, November 20, 2018
Information Notice – 11/16/18
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Friday, November 16, 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 18-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Wednesday, October 31, 2018
Election Notice – 10/29/18
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
Monday, October 29, 2018
Regulatory Notice 18-36
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Friday, October 19, 2018
Regulatory Notice 18-35
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Tuesday, October 16, 2018
Election Notice – 10/16/18
Notice of SFAC Election and Ballots
Tuesday, October 16, 2018