Notices

Regulatory Notice 14-10
SEC Approves New Supervision Rules
Wednesday, March 19, 2014
Regulatory Notice 14-11
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
Wednesday, March 19, 2014
Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, March 24, 2014
Regulatory Notice 14-13
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Tuesday, March 25, 2014
Regulatory Notice 14-14
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Tuesday, April 08, 2014
Regulatory Notice 14-15
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Tuesday, April 08, 2014
Regulatory Notice 14-16
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, April 11, 2014
Information Notice - 4/11/14
Continuing Education Planning
Friday, April 11, 2014
Regulatory Notice 14-17
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Monday, April 21, 2014
Regulatory Notice 14-18
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Wednesday, April 30, 2014
Regulatory Notice 14-19
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Wednesday, April 30, 2014
Election Notice - 5/6/14
Upcoming FINRA Board of Governors Election
Tuesday, May 06, 2014
Regulatory Notice 14-20
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Wednesday, May 07, 2014
Regulatory Notice 14-21
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
Thursday, May 15, 2014
Regulatory Notice 14-22
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Thursday, May 15, 2014
Regulatory Notice 14-23
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Friday, May 16, 2014
Regulatory Notice 14-24
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Friday, May 23, 2014
Regulatory Notice 14-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, June 23, 2014
Regulatory Notice 14-26
New Payments for Market Making Certification Requirement for FINRA Form 211
Friday, June 27, 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