Notices

Regulatory Notice 21-44
Business Continuity Planning and Lessons From the COVID-19 Pandemic
Thursday, December 23, 2021
Regulatory Notice 21-29
FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
Friday, August 13, 2021
Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Wednesday, December 16, 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 20-08
Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief
Monday, March 09, 2020
Regulatory Notice 19-06
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Monday, February 25, 2019
Regulatory Notice 18-09
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
Wednesday, March 07, 2018
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey
Wednesday, August 30, 2017
Regulatory Notice 12-53
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Monday, December 03, 2012
Regulatory Notice 13-25
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Friday, August 16, 2013
Information Notice - 8/28/12
Guidance for Firms Potentially Affected by Hurricane Isaac
Tuesday, August 28, 2012
Regulatory Notice 12-45
Guidance to Members Affected by Hurricane Sandy
Tuesday, October 30, 2012
Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Thursday, October 15, 2009
Regulatory Notice 09-59
FINRA Provides Guidance on Pandemic Preparedness
Monday, October 12, 2009
Regulatory Notice 07-49
Guidance for Firms Affected by the California Wildfires
Thursday, October 25, 2007
Notice to Members 06-74
Member Business Continuity Experiences regarding Hurricanes Katrina and Rita
Friday, December 29, 2006
Notice to Members 06-31
NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Wednesday, June 28, 2006
Notice to Members 05-57
Guidance to Members Affected by Hurricane Katrina
Friday, September 02, 2005
Notice to Members 02-23
The NASD Seeks Comment on Proposed Rules Relating to Member Firm Business Continuity Plans and Emergency Contact Information
Wednesday, April 10, 2002
Notice to Members 04-37
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Wednesday, May 05, 2004