Notices

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
Regulatory Notice 14-03
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
Thursday, January 30, 2014
Regulatory Notice 13-13
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Tuesday, April 09, 2013
Regulatory Notice 13-14
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Friday, April 12, 2013
Information Notice - 4/13/13
Continuing Education Planning
Friday, April 12, 2013
Regulatory Notice 13-15
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
Friday, April 12, 2013
Trade Reporting Notice - 4/16/13
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Wednesday, April 17, 2013
Regulatory Notice 13-16
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Wednesday, April 17, 2013
Regulatory Notice 13-17
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Thursday, April 18, 2013
Information Notice - 5/1/13
New Rate for Fees Paid Under Section 31 of the Exchange Act
Wednesday, May 01, 2013
Regulatory Notice 13-18
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
Thursday, May 02, 2013
Election Notice - 5/10/13
Upcoming FINRA Board of Governors Election
Friday, May 10, 2013
Regulatory Notice 13-19
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
Thursday, May 23, 2013
Regulatory Notice 13-20
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Tuesday, May 28, 2013
Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Monday, June 03, 2013
Information Notice - 6/5/13
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
Wednesday, June 05, 2013
Regulatory Notice 13-22
FINRA Revises the Series 55 Examination Program
Friday, June 28, 2013
Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
Friday, July 05, 2013
Regulatory Notice 13-23
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Thursday, July 18, 2013
Regulatory Notice 13-24
FINRA Announces Modifications Regarding Historic TRACE Data
Monday, July 22, 2013
Regulatory Notice 13-25
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Friday, August 16, 2013
Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Thursday, August 01, 2013
Election Notice - 8/2/13
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
Friday, August 02, 2013
Regulatory Notice 13-26
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Monday, August 19, 2013