Notices

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
Regulatory Notice 15-19
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
Wednesday, May 27, 2015
Regulatory Notice 15-18
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Wednesday, May 27, 2015
Regulatory Notice 15-17
Guidance on Rules Governing Communications With the Public
Friday, May 22, 2015
Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Monday, May 18, 2015
Regulatory Notice 15-15
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
Tuesday, May 12, 2015
Regulatory Notice 15-14
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
Wednesday, May 06, 2015
Regulatory Notice 15-13
FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Tuesday, May 05, 2015
Regulatory Notice 15-12
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Wednesday, April 29, 2015
Election Notice - 4/27/15
Upcoming FINRA Board of Governors Election
Monday, April 27, 2015
Information Notice - 4/10/15
Continuing Education Planning
Friday, April 10, 2015
Regulatory Notice 15-11
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, April 10, 2015
Information Notice - 3/31/15
FINRA Survey to Create the Securities Trader Qualification Examination
Tuesday, March 31, 2015
Regulatory Notice 15-10
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Monday, March 30, 2015
Regulatory Notice 15-09
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
Thursday, March 26, 2015
Regulatory Notice 15-08
Changes to Qualification Examination Fees
Wednesday, March 25, 2015
Regulatory Notice 15-07
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
Friday, March 20, 2015
Regulatory Notice 15-06
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Thursday, March 19, 2015