Notices

Regulatory Notice 25-06
FINRA Requests Comment on Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
Thursday, March 20, 2025
Regulatory Notice 24-17
FINRA Requests Comment on Proposed Changes to Corporate Financing Rules
Friday, December 20, 2024
Regulatory Notice 23-09
Capital Formation
Tuesday, May 09, 2023
Regulatory Notice 23-08
FINRA Reminds Members of Their Obligations When Selling Private Placements
Tuesday, May 09, 2023
Regulatory Notice 20-10
FINRA Amends the FINRA Corporate Financing Rule
Friday, March 20, 2020
Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Wednesday, April 12, 2017
Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Wednesday, April 12, 2017
Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Tuesday, September 08, 2015
Regulatory Notice 13-26
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Monday, August 19, 2013
Regulatory Notice 12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Wednesday, September 05, 2012
Regulatory Notice 12-22
New Electronic Filing System for Public Offering Filings
Monday, April 30, 2012
Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Tuesday, April 20, 2010
Regulatory Notice 09-27
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
Monday, May 18, 2009