Notices

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
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