Notices

Regulatory Notice 21-19
FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Friday, June 04, 2021
Information Notice 6/3/21
Information Notice 6/3/21
Thursday, June 03, 2021
Election Notice – 6/4/21
Nominees for Upcoming FINRA Board of Governors Election
Friday, June 04, 2021
Regulatory Notice 21-18
FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts
Wednesday, May 12, 2021
Special Notice – 4/28/21
2021 Election Process Overview
Wednesday, April 28, 2021
Regulatory Notice 21-17
FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Thursday, April 29, 2021
Regulatory Notice 21-16
FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
Wednesday, April 21, 2021
Regulatory Notice 21-15
FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
Friday, April 09, 2021
Special Notice – 3/26/21
2021 Advisory Committee Overview and Engagement Notice
Friday, March 26, 2021
Regulatory Notice 21-14
FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse
Thursday, March 25, 2021
Regulatory Notice 21-13
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
Wednesday, March 24, 2021
Regulatory Notice 21-12
FINRA Reminds Member Firms of Their Obligations Regarding Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
Thursday, March 18, 2021
Regulatory Notice 21-09
FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
Wednesday, March 10, 2021
Regulatory Notice 21-10
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Thursday, March 11, 2021
Regulatory Notice 21-11
FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Sunday, March 14, 2021
Regulatory Notice 21-08
FINRA Alerts Firms to Phishing Email Using “finra-online.com” Domain Name
Thursday, March 04, 2021
Regulatory Notice 21-07
FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
Thursday, March 04, 2021
Regulatory Notice 21-06
2021 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Friday, February 19, 2021
Regulatory Notice 21-05
SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
Thursday, February 18, 2021
Information Notice 2/16/21
New Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, February 16, 2021
Regulatory Notice 21-04
FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
Friday, February 12, 2021
Regulatory Notice 21-03
FINRA Urges Firms to Review Their Policies and Procedures Relating to Red Flags of Potential Securities Fraud Involving Low-Priced Securities
Wednesday, February 10, 2021
Regulatory Notice 21-02
FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions
Tuesday, February 02, 2021
Information Notice – 2/3/21
Exercise Cut-Off Time for Expiring Options
Wednesday, February 03, 2021
Regulatory Notice 21-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Monday, January 04, 2021

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