Notices

Election Notice – 10/20/17
Notice of FINRA District Committee Elections and Ballots
Friday, October 20, 2017
Information Notice – 10/17/17
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, October 17, 2017
Regulatory Notice 17-32
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
Monday, October 16, 2017
Regulatory Notice 17-31
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
Thursday, October 05, 2017
Regulatory Notice 17-30
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Thursday, October 05, 2017
Regulatory Notice 17-29
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Wednesday, October 04, 2017
Regulatory Notice 17-28
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
Friday, September 29, 2017
Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Friday, September 08, 2017
Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Friday, September 08, 2017
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey
Wednesday, August 30, 2017
Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Monday, August 21, 2017
Regulatory Notice 17-25
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Friday, August 18, 2017
Regulatory Notice 17-26
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Thursday, August 24, 2017
Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Friday, July 21, 2017
Regulatory Notice 17-24
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
Wednesday, July 12, 2017
Regulatory Notice 17-23
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Tuesday, July 11, 2017
Trade Reporting Notice – 6/12/17
Effective Date for Required Use of TRACE for Treasuries Modifiers
Monday, June 12, 2017
Information Notice – 6/9/17
New Rate for Fees Paid Under Section 31 of the Exchange Act
Friday, June 09, 2017
Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Wednesday, June 07, 2017
Regulatory Notice 17-21
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Wednesday, May 31, 2017
Election Notice - 5/23/17
Upcoming FINRA Board of Governors Election
Tuesday, May 23, 2017
Regulatory Notice 17-20
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Monday, May 15, 2017
Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Thursday, May 11, 2017
Election Notice – 5/2/17
Notice of Special Meeting of Large Firms and Proxy
Tuesday, May 02, 2017
Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Tuesday, April 25, 2017