Notices

Election Notice – 10/14/15
Notice of FINRA District Committee Elections and Ballots
Wednesday, October 14, 2015
Election Notice – 10/14/15
Notice of SFAB Election and Ballots
Wednesday, October 14, 2015
Trade Reporting Notice – 10/7/15
Dissemination of Qualified Contingent Trades Reported to FINRA
Wednesday, October 07, 2015
Regulatory Notice 15-35
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Friday, October 02, 2015
Regulatory Notice 15-34
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Friday, October 02, 2015
Election Notice – 10/1/15
Nomination of a Small Firm NAC Member Candidate
Thursday, October 01, 2015
Regulatory Notice 15-33
Guidance on Liquidity Risk Management Practices
Tuesday, September 15, 2015
Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Tuesday, September 08, 2015
Election Notice – 9/2/15
Upcoming Election to Fill FINRA District Committee Vacancies
Wednesday, September 02, 2015
Election Notice – 9/2/15
FINRA Small Firm Advisory Board Election
Wednesday, September 02, 2015
Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Wednesday, August 26, 2015
Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Wednesday, August 26, 2015
Regulatory Notice 15-29
FINRA Revises the Series 4 Examination Program
Monday, August 10, 2015
Regulatory Notice 15-28
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Monday, August 03, 2015
Regulatory Notice 15-27
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Thursday, July 30, 2015
Election Notice – 7/28/15
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
Tuesday, July 28, 2015
Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product
Thursday, July 16, 2015
Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, June 29, 2015
Election Notice – 6/30/15
Notice of Annual Meeting of FINRA Firms and Proxy
Tuesday, June 30, 2015
Regulatory Notice 15-24
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Tuesday, June 23, 2015
Information Notice – 6/19/15
Distributed Denial of Service (DDoS) Attacks on Member Firms
Friday, June 19, 2015
Regulatory Notice 15-23
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
Friday, June 19, 2015
Regulatory Notice 15-22
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
Wednesday, June 17, 2015
Regulatory Notice 15-21
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
Monday, June 08, 2015
Regulatory Notice 15-20
FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Wednesday, May 27, 2015