Notices

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
Election Notice - 10/15/14
Notice of FINRA District Committee Elections and Ballots
Wednesday, October 15, 2014
Election Notice - 10/15/14
Notice of SFAB Election and Ballots
Wednesday, October 15, 2014
Information Notice - 10/10/14
Continuing Education Planning
Friday, October 10, 2014
Regulatory Notice 14-41
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, October 10, 2014
Regulatory Notice 14-40
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Thursday, October 09, 2014
Regulatory Notice 14-39
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
Wednesday, October 08, 2014
Regulatory Notice 14-38
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, October 06, 2014
Regulatory Notice 14-37
Comprehensive Automated Risk Data System
Tuesday, September 30, 2014