Notices

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
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

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