Notices

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
Information Notice 10/7/14
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, October 07, 2014
Information Notice - 9/25/14
Individual Snapshot Reports Now Available Online
Thursday, September 25, 2014
Regulatory Notice 14-36
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
Wednesday, September 17, 2014
Regulatory Notice 14-35
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Tuesday, September 16, 2014
Election Notice - 9/3/14
Upcoming Election to Fill FINRA District Committee Vacancies
Wednesday, September 03, 2014
Election Notice - 9/3/14
FINRA Small Firm Advisory Board Election
Wednesday, September 03, 2014
Regulatory Notice 14-34
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Tuesday, August 26, 2014
Regulatory Notice 14-33
FINRA Revises the Series 24 and 23 Examination Programs
Thursday, August 14, 2014
Regulatory Notice 14-32
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
Wednesday, August 06, 2014
Election Notice - 8/1/14
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Friday, August 01, 2014
Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Wednesday, July 30, 2014
Regulatory Notice 14-28
SEC Approves FINRA Rule Concerning Self-Trades
Monday, June 30, 2014
Regulatory Notice 14-27
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Monday, June 30, 2014
Regulatory Notice 14-29
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Wednesday, July 02, 2014
Election Notice - 7/9/14
Notice of Annual Meeting of FINRA Firms and Proxy
Wednesday, July 09, 2014
Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Thursday, July 10, 2014
Regulatory Notice 14-30
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Friday, July 11, 2014