Notices

Regulatory Notice 16-44
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
Thursday, December 01, 2016
Information Notice – 11/22/16
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Tuesday, November 22, 2016
Regulatory Notice 16-43
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Wednesday, November 16, 2016
Regulatory Notice 16-42
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
Tuesday, November 01, 2016
Regulatory Notice 16-41
SEC Approves Amendments to Rules Governing Communications With the Public
Wednesday, October 26, 2016
Regulatory Notice 16-40
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
Monday, October 24, 2016
Regulatory Notice 16-39
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Wednesday, October 19, 2016
Regulatory Notice 16-38
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Monday, October 17, 2016
Election Notice – 10/19/16
Notice of FINRA District Committee Elections and Ballots
Wednesday, October 19, 2016
Regulatory Notice 16-37
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
Monday, October 17, 2016
Trade Reporting Notice – 10/7/16
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility
Friday, October 07, 2016
Regulatory Notice 16-36
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Monday, September 26, 2016
Regulatory Notice 16-35
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Thursday, September 22, 2016
Election Notice – 9/7/16
FINRA Small Firm Advisory Board Election
Wednesday, September 07, 2016
Election Notice – 9/7/16
Upcoming Election to Fill FINRA District Committee Vacancies
Wednesday, September 07, 2016
Regulatory Notice 16-34
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Wednesday, August 31, 2016
Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Friday, August 26, 2016
Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Wednesday, August 24, 2016
Regulatory Notice 16-32
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Friday, August 19, 2016
Election Notice – 8/19/16
Notice of Annual Meeting of FINRA Firms and Proxy
Friday, August 19, 2016
Regulatory Notice 16-31
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Friday, August 12, 2016
Election Notice – 8/12/16
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Friday, August 12, 2016
Regulatory Notice 16-30
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
Wednesday, August 10, 2016
Regulatory Notice 16-29
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Monday, August 08, 2016
Regulatory Notice 16-28
Regulatory Notice 16-28
Monday, August 08, 2016