Notices

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
Election Notice – 8/13/18
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Monday, August 13, 2018
Regulatory Notice 18-23
FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Thursday, July 26, 2018
Special Notice – 7/30/18
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Monday, July 30, 2018
Regulatory Notice 18-22
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Thursday, July 26, 2018
Regulatory Notice 18-21
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Monday, July 23, 2018
Election Notice – 7/23/18
Notice of Annual Meeting of FINRA Firms and Proxy
Monday, July 23, 2018
Information Notice – 7/13/18
FINRA Warns Firms of Regulator Impersonators
Friday, July 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