Notices

Regulatory Notice 16-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Monday, January 04, 2016
Information Notice – 12/22/15
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Tuesday, December 22, 2015
Information Notice – 12/22/15
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
Tuesday, December 22, 2015
Election Notice – 12/18/15
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Friday, December 18, 2015
Information Notice – 12/14/15
2016 and First Quarter of 2017 Report Filing Due Dates: Annual Audit; 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, December 14, 2015
Regulatory Notice 15-52
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
Wednesday, December 09, 2015
Regulatory Notice 15-51
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Tuesday, December 08, 2015
Regulatory Notice 15-50
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Monday, December 07, 2015
Regulatory Notice 15-49
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Monday, November 30, 2015
Regulatory Notice 15-48
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Wednesday, November 25, 2015
Regulatory Notice 15-47
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Monday, November 23, 2015
Regulatory Notice 15-46
Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets
Friday, November 20, 2015
Information Notice – 11/24/15
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Tuesday, November 24, 2015
Regulatory Notice 15-45
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
Wednesday, November 18, 2015
Regulatory Notice 15-44
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Friday, November 06, 2015
Regulatory Notice 15-43
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
Tuesday, November 03, 2015
Information Notice – 11/4/15
CE Online and S101 Personalization
Wednesday, November 04, 2015
Regulatory Notice 15-42
FINRA to Require Electronic Submission of Subordination Approval Requests
Monday, November 02, 2015
Regulatory Notice 15-41
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Tuesday, October 27, 2015
Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Monday, October 26, 2015
Regulatory Notice 15-39
FINRA Revises the Series 27 and Series 28 Examination Programs
Friday, October 23, 2015
Information Notice – 10/23/15
Continuing Education Planning
Friday, October 23, 2015
Regulatory Notice 15-38
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, October 23, 2015
Regulatory Notice 15-37
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Thursday, October 15, 2015
Regulatory Notice 15-36
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Monday, October 12, 2015