Notices

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
Regulatory Notice 18-07
Extension of Time Requests Relating to FINRA Rule 4210
Wednesday, February 14, 2018
Regulatory Notice 18-06
FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
Thursday, February 08, 2018
Regulatory Notice 18-05
FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly
Tuesday, February 06, 2018
Special Notice – 2/1/18
2018 Involvement and Election Process Overview
Thursday, February 01, 2018
Regulatory Notice 18-04
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
Monday, January 29, 2018
Regulatory Notice 18-03
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Wednesday, January 10, 2018
Regulatory Notice 18-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Monday, January 08, 2018
Regulatory Notice 18-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Tuesday, January 02, 2018