Notices

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
Regulatory Notice 20-43
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Wednesday, December 23, 2020
Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Wednesday, December 16, 2020
Election Notice – 12/15/20
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Tuesday, December 15, 2020
Information Notice – 12/1/20
2021 Holiday Margin Extensions Schedule
Tuesday, December 01, 2020
Regulatory Notice 20-41
FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
Wednesday, December 02, 2020
Regulatory Notice 20-40
FINRA Alerts Firms to Phishing Email Using Invest-FINRA.org Domain Name
Monday, November 30, 2020
Information Notice – 11/23/20
2021 and First Quarter of 2022 Report Filing Due Dates: Annual Report; 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, November 23, 2020
Information Notice – 11/24/20
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Tuesday, November 24, 2020
Regulatory Notice 20-39
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2021
Friday, October 30, 2020
Regulatory Notice 20-38
FINRA Adopts Rule to Limit a Registered Person From Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Thursday, October 29, 2020
Regulatory Notice 20-37
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Tuesday, October 20, 2020
Election Notice – 10/20/20
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Tuesday, October 20, 2020
Election Notice – 10/20/20
Notice of SFAC Election and Mailing of Ballots
Tuesday, October 20, 2020
Information Notice - 10/15/20
Cybersecurity Background: Authentication Methods
Thursday, October 15, 2020
Regulatory Notice 20-36
FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Thursday, October 15, 2020
Regulatory Notice 20-35
FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey
Tuesday, October 06, 2020
Regulatory Notice 20-34
Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Monday, October 05, 2020

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