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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Regulatory Notice 16-35 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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Election Notice – 9/7/16 | Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
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Election Notice – 9/7/16 | FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
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Regulatory Notice 16-34 | FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Comment Period Expires: November 29, 2016
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Trade Reporting Notice – 8/26/16 | Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016
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Regulatory Notice 16-33 | FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Effective Date: September 12, 2016
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Regulatory Notice 16-32 | FINRA Announces New Web-based System for the Collection of Short Interest Positions
Effective Date: January 10, 2017
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Election Notice – 8/19/16 | Notice of Annual Meeting of FINRA Firms and Proxy
Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016. |
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Regulatory Notice 16-31 | (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Effective Date of Risk Limit Determination Requirements: December 15, 2016; Effective Date of All Other Requirements: December 15, 2017
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Election Notice – 8/12/16 | FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2016
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Regulatory Notice 16-30 | FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
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Regulatory Notice 16-29 | FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Comment Period Expires: September 23, 2016
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Regulatory Notice 16-28 | SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
Implementation Date: November 7, 2016
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Regulatory Notice 16-27 | FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
Effective Date: August 11, 2016
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Regulatory Notice 16-26 | FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Effective date: August 22, 2016
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Regulatory Notice 16-25 | Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
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Regulatory Notice 16-24 | FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
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Regulatory Notice 16-23 | SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
Effective Date: August 15, 2016; Phase 1 Implementation Date*
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Regulatory Notice 16-22 | SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Effective Date: April 3, 2017
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Regulatory Notice 16-22 | SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Effective Date: April 3, 2017
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Election Notice – 6/21/16 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: August 5, 2016
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Regulatory Notice 16-21 | SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Effective Date: January 30, 2017
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Regulatory Notice 16-20 | SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Effective Date: August 1, 2016
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Regulatory Notice 16-19 | FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
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Regulatory Notice 16-18 | SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Effective Date: November 11, 2016
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Information Notice – 5/16/16 | Elimination of Continuing Education Delivery at Testing Centers
Effective: July 1, 2016
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Regulatory Notice 16-17 | FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
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Regulatory Notice 16-16 | 2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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Regulatory Notice 16-15 | Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: July 18, 2016
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Regulatory Notice 16-14 | FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Implementation Date: October 3, 2016
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Regulatory Notice 16-13 | Revised SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities
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Regulatory Notice 16-12 | FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
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Regulatory Notice 16-11 | Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016
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Regulatory Notice 16-10 | Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
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Information Notice – 3/15/16 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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Election Notice – 3/10/16 | Annual FINRA Election Cycle and Procedures Overview
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Regulatory Notice 16-09 | FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
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Regulatory Notice 16-08 | Private Placements and Public Offerings Subject to a Contingency
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Regulatory Notice 16-07 | FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other than Registration Requirements): May 16, 2016
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Regulatory Notice 16-06 | SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
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