Notices

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
Regulatory Notice 20-29
FINRA Requests Comment on the Practice of Pennying in the Corporate Bond Market
Monday, August 17, 2020
Regulatory Notice 20-27
FINRA Alerts Firms to Use of Fake FINRA Domain Name
Wednesday, August 12, 2020
Regulatory Notice 20-26
FINRA Shares Practices Firms Implemented to Prepare for the LIBOR Phase-out
Wednesday, August 05, 2020
Regulatory Notice 20-25
FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
Monday, July 20, 2020
Information Notice – 7/17/20
Consolidated Audit Trail: Industry Presentation by CMRWG on CAT Compliance Rules
Friday, July 17, 2020
Regulatory Notice 20-24
FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades
Thursday, July 16, 2020
Regulatory Notice 20-23
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Thursday, July 09, 2020
Regulatory Notice 20-21
FINRA Provides Guidance on Retail Communications Concerning Private Placement Offerings
Wednesday, July 01, 2020
Election Notice – 7/8/20
Notice of Annual Meeting of FINRA Firms and Election Proxy
Wednesday, July 08, 2020
Regulatory Notice 20-22
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts
Thursday, July 02, 2020
Regulatory Notice 20-20
FINRA Provides Updates on Regulatory Coordination Concerning CAT Reporting Compliance
Monday, June 29, 2020
Regulatory Notice 20-19
FINRA and ISG Announce the Update of Blue Sheet Data Elements and Repositioning of Exchange Code Field
Tuesday, June 23, 2020
Information Notice – 6/25/20
FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education
Thursday, June 25, 2020
Regulatory Notice 20-17
FINRA Revises Rule 4530 Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Wednesday, June 10, 2020
Regulatory Notice 20-18
FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
Friday, June 19, 2020
Regulatory Notice 20-16
FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic
Thursday, May 28, 2020
Regulatory Notice 20-15
FINRA Amends Rules Governing its Membership Application Program to Incentivize Payment of Arbitration Awards
Thursday, May 21, 2020