Notices

Information Notice - 3/18/15
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Wednesday, March 18, 2015
Regulatory Notice 15-05
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Friday, March 06, 2015
Regulatory Notice 15-04
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
Monday, February 09, 2015
Regulatory Notice 15-03
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
Friday, February 06, 2015
Information Notice - 1/20/15
New Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, January 20, 2015
Regulatory Notice 15-02
SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
Monday, January 05, 2015
Regulatory Notice 15-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Friday, January 02, 2015
Information Notice - 12/30/14
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)
Tuesday, December 30, 2014
Information Notice – 12/23/14
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Tuesday, December 23, 2014
Regulatory Notice 14-54
FINRA Reminds Firms of Extended Hours Trading Disclosures
Wednesday, December 17, 2014
Election Notice - 12/5/14
FINRA Announces Results of SFAB, NAC and District Committee Elections
Friday, December 05, 2014
Regulatory Notice 14-53
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
Friday, November 21, 2014
Information Notice - 11/25/14
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Tuesday, November 25, 2014
Regulatory Notice 14-50
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
Friday, November 14, 2014
Regulatory Notice 14-51
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
Friday, November 14, 2014
Regulatory Notice 14-52
Pricing Disclosure in the Fixed Income Markets
Monday, November 17, 2014
Regulatory Notice 14-49
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
Friday, November 14, 2014
Regulatory Notice 14-47
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Wednesday, November 12, 2014
Regulatory Notice 14-46
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
Wednesday, November 12, 2014
Regulatory Notice 14-48
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Wednesday, November 12, 2014
Regulatory Notice 14-45
SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Friday, October 31, 2014
Regulatory Notice 14-44
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Monday, October 27, 2014
Regulatory Notice 14-43
SEC Approves Supplemental Inventory Schedule
Thursday, October 23, 2014
Regulatory Notice 14-42
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Friday, October 17, 2014
Election Notice - 10/15/14
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Wednesday, October 15, 2014