Notices

Regulatory Notice 17-17
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Friday, April 21, 2017
Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Wednesday, April 12, 2017
Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Wednesday, April 12, 2017
Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Wednesday, April 12, 2017
Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Friday, April 07, 2017
Regulatory Notice 17-13
FINRA’s NAC Revises the Sanction Guidelines
Monday, April 10, 2017
Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Monday, April 03, 2017
Regulatory Notice 17-11
SEC Approves Rules Relating to Financial Exploitation of Seniors
Thursday, March 30, 2017
Regulatory Notice 17-10
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Friday, March 24, 2017
Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Tuesday, March 21, 2017
Regulatory Notice 17-09
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Thursday, March 09, 2017
Election Notice – 3/9/17
Special Election to Fill FINRA Large Firm Governor Vacancy
Thursday, March 09, 2017
Regulatory Notice 17-08
SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
Wednesday, February 15, 2017
Regulatory Notice 17-07
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Friday, February 10, 2017
Regulatory Notice 17-05
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
Wednesday, February 01, 2017
Regulatory Notice 17-06
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Friday, February 10, 2017
Election Notice – 1/24/17
2017 Annual FINRA Election Cycle and Procedures Overview
Tuesday, January 24, 2017
Regulatory Notice 17-03
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
Tuesday, January 03, 2017
Regulatory Notice 17-04
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
Tuesday, January 03, 2017
Regulatory Notice 17-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Tuesday, January 03, 2017
Regulatory Notice 17-02
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
Tuesday, January 03, 2017
Election Notice – 12/20/16
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Tuesday, December 20, 2016
Information Notice – 12/14/16
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Wednesday, December 14, 2016
Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Monday, December 05, 2016
Information Notice – 12/5/16
2017 and First Quarter of 2018 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)
Monday, December 05, 2016