Notices

Regulatory Notice 20-14
Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products
Friday, May 15, 2020
Regulatory Notice 20-12
FINRA Warns of Fraudulent Phishing Emails Purporting to be from FINRA
Monday, May 04, 2020
Election Notice – 5/8/20
Upcoming FINRA Board of Governors Election
Friday, May 08, 2020
Regulatory Notice 20-13
FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
Tuesday, May 05, 2020
Regulatory Notice 20-11
FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Thursday, April 09, 2020
Information Notice – 4/8/20
Members of the U.S. Subgroup of the Intermarket Surveillance Group (ISG) Announce the Establishment of the Cross-Market Regulation Working Group (CMRWG)
Wednesday, April 08, 2020
Information Notice – 3/26/20
Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (COVID-19)
Thursday, March 26, 2020
Regulatory Notice 20-09
2020 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Tuesday, March 10, 2020
Regulatory Notice 20-08
Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief
Monday, March 09, 2020
Regulatory Notice 20-07
FINRA Reminds Member Firms of Their Responsibilities for Supervising UTMA and UGMA Accounts
Thursday, February 27, 2020
Regulatory Notice 20-06
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Tuesday, February 25, 2020
Regulatory Notice 20-05
FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
Tuesday, February 18, 2020
Special Notice – 2/14/20
2020 Involvement and Election Process Overview
Friday, February 14, 2020
Regulatory Notice 20-10
FINRA Amends the FINRA Corporate Financing Rule
Friday, March 20, 2020
Information Notice – 2/3/20
New Rate for Fees Paid Under Section 31 of the Exchange Act
Monday, February 03, 2020
Regulatory Notice 20-04
FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) Rules
Thursday, January 30, 2020
Information Notice – 1/23/20
Heightened Terror Threat Risk
Thursday, January 23, 2020
Regulatory Notice 20-03
Retrospective Rule Review Report
Tuesday, January 14, 2020
Regulatory Notice 20-02
FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Thursday, January 09, 2020
Regulatory Notice 20-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Thursday, January 02, 2020
Election Notice – 12/19/19
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Thursday, December 19, 2019
Regulatory Notice 19-37
SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPOs
Thursday, December 19, 2019
Information Notice – 12/9/19
2020 Holiday Margin Extensions Schedule
Monday, December 09, 2019
Information Notice – 11/26/19
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Tuesday, November 26, 2019
Regulatory Notice 19-36
FINRA Requests Comment on a Proposed 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
Monday, November 11, 2019

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