Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Information Notice - 12/1/11 | 2012 Annual Audit and FOCUS Report Filing Deadlines
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| Regulatory Notice 11-54 | FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
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| Election Notice - 11/29/11 | FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
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| Information Notice - 11/28/11 | Continuing Education
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| Regulatory Notice 11-52 | FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
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| Trade Reporting Notice – 11/7/11 | Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
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| Regulatory Notice 11-51 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
Payment Deadline: December 12, 2011
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| Regulatory Notice 11-50 | SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Effective Date: December 2, 2011
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| Information Notice - 10/28/11 | FINRA Entitlement User Account Certification
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| Election Notice - 10/25/11 | Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
The special meeting of large firms will take place on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA's Washington, DC, office at 1735 K Street, NW. Please see Election Notice 12/14/11 for details. |
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| Regulatory Notice 11-48 | FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Comment Period Expires: December 9, 2011
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| Election Notice - 10/19/11 | Notice of FINRA Small Firm Advisory Board Election and Ballots
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| Election Notice - 10/19/11 | Notice of Contested Election and Ballots for Small Firm NAC Member Seat
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| Election Notice - 10/19/11 | Notice of FINRA District Committee Election and Ballots
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| Regulatory Notice 11-47 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 10/14/11 | Continuing Education Planning
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| Regulatory Notice 11-46 | FINRA to Require Electronic Submission of Annual Audit Reports
Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011
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| Regulatory Notice 11-45 | FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Implementation Date: November 7, 2011
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| Regulatory Notice 11-44 | FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expires: November 12, 2011
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| Trade Reporting Notice - 9/23/11 | Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
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| Trade Reporting Notice - 9/23/11 | FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
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| Regulatory Notice 11-43 | FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Comment Period Expires: October 21, 2011
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| Regulatory Notice 11-42 | Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
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| Regulatory Notice 11-41 | FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
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| Election Notice - 9/7/11 | FINRA Small Firm Advisory Board Election
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| Election Notice - 9/7/11 | Nomination and Election Process to Fill FINRA District Committee Vacancies
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| Regulatory Notice 11-39 | Guidance on Social Networking Websites and Business Communications
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| Regulatory Notice 11-38 | Application of the SEC's Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor's
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| Regulatory Notice 11-37 | Trading Pause Rule Expanded to All NMS Stocks
Effective Date: August 8, 2011
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| Election Notice - 8/5/11 | FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
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| Regulatory Notice 11-36 | Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
The contact for this Notice was updated on 3/20/12. |
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| Regulatory Notice 11-35 | FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
Effective Date: August 8, 2011
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| Regulatory Notice 11-34 | FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
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| Regulatory Notice 11-33 | SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Effective Date: October 17, 2011
The implementation schedule for non-Day-One Professionals described in this Notice was revised by SR-FINRA-2011-060. Further information on the revised implementation schedule is available in the Operations Professional FAQ. |
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| Regulatory Notice 11-32 | FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
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| Election Notice - 6/29/11 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Information Notice - 6/28/11 | FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
The contact for this Notice was updated on 10/25/11. |
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| Regulatory Notice 11-30 | FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
New Effective Date: October 3, 2011
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| Regulatory Notice 11-29 | Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
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| Regulatory Notice 11-28 | FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Comment Period Expires: August 1, 2011
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