Notices

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
Election Notice – 10/16/18
Notice of FINRA Regional Committee Elections and Ballots
Tuesday, October 16, 2018
Election Notice – 10/16/18
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Tuesday, October 16, 2018
Regulatory Notice 18-34
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Thursday, October 04, 2018
Information Notice – 10/02/18
Administrative Changes to the Continuing Education Regulatory Element Programs
Tuesday, October 02, 2018
Regulatory Notice 18-33
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Friday, September 28, 2018
Information Notice – 9/24/18
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System
Monday, September 24, 2018
Regulatory Notice 18-32
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
Monday, September 24, 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 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Wednesday, September 12, 2018
Regulatory Notice 18-28
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Tuesday, September 11, 2018
Regulatory Notice 18-27
Restructured Qualification Examinations and Related Examination Fees
Thursday, September 06, 2018
Regulatory Notice 18-26
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Thursday, September 06, 2018
Election Notice - 8/29/18
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Wednesday, August 29, 2018
Election Notice – 8/29/18
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Wednesday, August 29, 2018
Regulatory Notice 18-25
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
Monday, August 13, 2018
Regulatory Notice 18-24
Update to Security Futures Risk Disclosure Statement and Supplement
Friday, August 10, 2018