Notices

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
Regulatory Notice 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
Friday, January 29, 2016
Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Tuesday, January 26, 2016
Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues
Wednesday, January 20, 2016
Information Notice – 1/20/16
New Rate for Fees Paid Under Section 31 of the Exchange Act
Wednesday, January 20, 2016
Regulatory Notice 16-04
SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc.
Friday, January 15, 2016
Regulatory Notice 16-03
SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
Thursday, January 14, 2016
Regulatory Notice 16-02
FINRA Revises the Series 9/10 Examination Program
Monday, January 11, 2016
Information Notice – 1/8/16
Use of FINRA Logo
Friday, January 08, 2016