Notices

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
Election Notice – 6/11/18
Notice of Special Meeting of Large Firms and Proxy
Monday, June 11, 2018
Election Notice – 5/25/18
Upcoming FINRA Board of Governors Election
Friday, May 25, 2018
Information Notice – 5/18/18
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
Friday, May 18, 2018
Information Notice - 5/7/18
New Rate for Fees Paid Under Section 31 of the Exchange Act
Monday, May 07, 2018
Regulatory Notice 18-19
FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Thursday, May 03, 2018
Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Thursday, May 03, 2018
Regulatory Notice 18-17
FINRA Revises the Sanction Guidelines
Wednesday, May 02, 2018
Regulatory Notice 18-16
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Monday, April 30, 2018
Regulatory Notice 18-15
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
Monday, April 30, 2018
Regulatory Notice 18-14
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Tuesday, April 24, 2018
Regulatory Notice 18-13
FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Friday, April 20, 2018
Election Notice – 4/20/18
Special Election to Fill a FINRA Large Firm Governor Vacancy
Friday, April 20, 2018
Regulatory Notice 18-12
Regulatory Notice 18-12
Tuesday, April 17, 2018
Regulatory Notice 18-11
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
Wednesday, March 28, 2018
Regulatory Notice 18-10
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Friday, March 23, 2018
Regulatory Notice 18-09
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
Wednesday, March 07, 2018
Regulatory Notice 18-08
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Monday, February 26, 2018