Notices

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
Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Friday, July 11, 2014
Information Notice - 12/23/13
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Monday, December 23, 2013
Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, December 23, 2013
Regulatory Notice 13-45
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
Monday, December 30, 2013
Regulatory Notice 14-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Thursday, January 02, 2014
Information Notice - 1/8/14
2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
Wednesday, January 08, 2014
Regulatory Notice 14-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Monday, January 27, 2014