Notices

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
Information Notice - 12/21/17
2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Thursday, December 21, 2017
Election Notice – 12/15/17
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
Friday, December 15, 2017
Regulatory Notice 17-43
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
Wednesday, December 06, 2017
Regulatory Notice 17-42
FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information
Wednesday, December 06, 2017
Information Notice – 11/30/17
2018 and First Quarter of 2019 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)
Thursday, November 30, 2017
Regulatory Notice 17-41
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Tuesday, November 28, 2017
Regulatory Notice 17-40
FINRA Provides Guidance to Firms Regarding Anti-Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
Tuesday, November 21, 2017
Information Notice – 11/21/17
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Tuesday, November 21, 2017
Regulatory Notice 17-39
SEC Approves the CAT Fee Dispute Resolution Process
Wednesday, November 15, 2017
Regulatory Notice 17-38
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
Monday, November 13, 2017
Regulatory Notice 17-37
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
Monday, November 06, 2017
Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Friday, November 03, 2017
Regulatory Notice 17-35
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
Tuesday, October 31, 2017
Regulatory Notice 17-34
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Wednesday, October 18, 2017
Regulatory Notice 17-33
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Wednesday, October 18, 2017
Election Notice – 10/20/17
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Friday, October 20, 2017
Election Notice – 10/20/17
Notice of SFAB Election and Ballots
Friday, October 20, 2017