Notices

Regulatory Notice 16-27
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
Thursday, August 04, 2016
Regulatory Notice 16-26
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Friday, July 29, 2016
Regulatory Notice 16-25
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Friday, July 22, 2016
Regulatory Notice 16-24
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
Thursday, July 14, 2016
Regulatory Notice 16-23
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
Thursday, July 07, 2016
Regulatory Notice 16-22
SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Thursday, June 30, 2016
Election Notice – 6/21/16
Upcoming FINRA Board of Governors Election
Tuesday, June 21, 2016
Regulatory Notice 16-21
SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Monday, June 06, 2016
Regulatory Notice 16-20
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Friday, May 27, 2016
Regulatory Notice 16-19
FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
Thursday, May 26, 2016
Regulatory Notice 16-18
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Monday, May 16, 2016
Information Notice – 5/16/16
Elimination of Continuing Education Delivery at Testing Centers
Monday, May 16, 2016
Regulatory Notice 16-17
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
Thursday, May 05, 2016
Regulatory Notice 16-16
2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Thursday, May 05, 2016
Regulatory Notice 16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Wednesday, April 27, 2016
Regulatory Notice 16-14
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Friday, April 22, 2016
Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Wednesday, April 20, 2016
Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Monday, April 18, 2016
Regulatory Notice 16-11
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Tuesday, April 05, 2016
Regulatory Notice 16-10
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
Monday, April 04, 2016
Information Notice – 3/15/16
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, March 15, 2016
Election Notice – 3/10/16
Annual FINRA Election Cycle and Procedures Overview
Thursday, March 10, 2016
Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Friday, March 04, 2016
Regulatory Notice 16-08
Private Placements and Public Offerings Subject to a Contingency
Monday, February 08, 2016
Regulatory Notice 16-07
SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Friday, January 29, 2016