Notices

Regulatory Notice 20-43
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Wednesday, December 23, 2020
Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Wednesday, December 16, 2020
Election Notice – 12/15/20
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Tuesday, December 15, 2020
Information Notice – 12/1/20
2021 Holiday Margin Extensions Schedule
Tuesday, December 01, 2020
Regulatory Notice 20-41
FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
Wednesday, December 02, 2020
Regulatory Notice 20-40
FINRA Alerts Firms to Phishing Email Using Invest-FINRA.org Domain Name
Monday, November 30, 2020
Information Notice – 11/23/20
2021 and First Quarter of 2022 Report Filing Due Dates: Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Monday, November 23, 2020
Information Notice – 11/24/20
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Tuesday, November 24, 2020
Regulatory Notice 20-39
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2021
Friday, October 30, 2020
Regulatory Notice 20-38
FINRA Adopts Rule to Limit a Registered Person From Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Thursday, October 29, 2020
Regulatory Notice 20-37
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Tuesday, October 20, 2020
Election Notice – 10/20/20
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Tuesday, October 20, 2020
Election Notice – 10/20/20
Notice of SFAC Election and Mailing of Ballots
Tuesday, October 20, 2020
Information Notice - 10/15/20
Cybersecurity Background: Authentication Methods
Thursday, October 15, 2020
Regulatory Notice 20-36
FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Thursday, October 15, 2020
Regulatory Notice 20-35
FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey
Tuesday, October 06, 2020
Regulatory Notice 20-34
Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Monday, October 05, 2020
Regulatory Notice 20-33
FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Tuesday, September 22, 2020
Regulatory Notice 20-32
FINRA Reminds Firms to Be Aware of Fraudulent Options Trading in Connection With Potential Account Takeovers and New Account Fraud
Thursday, September 17, 2020
Election Notice – 9/1/20
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Tuesday, September 01, 2020
Regulatory Notice 20-31
FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
Monday, August 31, 2020
Election Notice – 9/1/20
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Tuesday, September 01, 2020
Regulatory Notice 20-30
Fraudsters Using Registered Representatives Names to Establish Imposter Websites
Thursday, August 20, 2020
Election Notice – 8/17/20
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Monday, August 17, 2020
Regulatory Notice 20-28
Update to Security Futures Risk Disclosure Statement and Supplement
Friday, August 14, 2020