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 23-19 | FINRA Adopts a Short-Form Membership Application Process for Certain Firms That Must Become FINRA Members due to Amended SEA Rule 15b9-1
Effective Date: October 30, 2023
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| Information Notice 11/2/23 | FINRA Reminds Firms of Continuing Education Firm Element Rule Changes
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| Information Notice 11/1/23 | 2024 and First Quarter of 2025 Report Filing Due Dates
Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); Supplemental Inventory Schedule (SIS); and Supplemental Liquidity Schedule (SLS)
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| Regulatory Notice 23-18 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2024
Payment Deadline: December 11, 2023
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| Regulatory Notice 23-17 | FINRA Discontinues Collection of INSITE Data From Clearing Firms
Effective Date: November 30, 2023
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| Election Notice - 10/23/2023 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 22, 2023
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| Election Notice - 10/23/2023 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 22, 2023
This Notice was updated on November 3, 2023, to update the District 4 candidates for Midwest Region Committee. |
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| Regulatory Notice 23-16 | FINRA Adopts TAF Exemption for Proprietary Trading Firms
Effective Date: November 6, 2023
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| Election Notice - 9/25/2023 | FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: November 9, 2023
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| Election Notice – 9/11/23 | Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 11, 2023
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| Election Notice – 9/11/23 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 11, 2023
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| Regulatory Notice 23-15 | Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
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| Regulatory Notice 23-14 | Amendments to Covered Agency Transaction Requirements under FINRA Rule 4210; Announcement of Effective Date
Effective Date: May 22, 2024
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| Regulatory Notice 23-13 | FINRA Amends Its Rules to Allow Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions
Effective Date: August 23, 2023
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| Regulatory Notice 23-12 | FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
Effective Date: October 16, 2023
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| Election Notice - 8/7/2023 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Information Notice 7/26/23 | FINRA Reminds Registered Persons and Firms of Continuing Education Regulatory Element Annual Deadline
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| Regulatory Notice 23-11 | FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule
Comment Period Expires: August 11, 2023
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| Regulatory Notice 23-10 | FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
Comment Period Expires: July 31, 2023
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| Election Notice - 05/31/2023 | Nominee for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, July 17, 2023
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| Regulatory Notice 23-09 | FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: August 7, 2023
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| Regulatory Notice 23-08 | FINRA Reminds Members of Their Obligations When Selling Private Placements
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| Regulatory Notice 23-07 | FINRA Adopts Amendments to FINRA Rule 8312 to Release Information on BrokerCheck Relating to Designation as a Restricted Firm
Effective Date: June 1, 2023
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| Information Notice - 4/27/23 | March 2023 Options Disclosure Document
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| Special Notice - 4/25/23 | 2023 Election Process Overview
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| Special Notice - 3/29/23 | FINRA Encourages Engagement in Advisory Committees
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| Regulatory Notice 23-06 | FINRA Shares Effective Practices to Address Risks of Fraudulent Transfers of Accounts Through ACATS
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| Regulatory Notice 23-05 | FINRA Revises the Research Analyst (Series 86/87) Exam Program
Effective Date: May 15, 2023
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| Information Notice - 3/15/23 | FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program
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| Regulatory Notice 23-04 | FINRA Issues Guidance in Connection With Failures of Silicon Valley Bank and Signature Bank
SEA Rule 15c3-1 (Net Capital Requirements) and SEA Rule 15c3-3 (Customer Protection – Reserves and Custody of Securities)
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| Regulatory Notice 23-03 | 2023 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Information Notice 2/14/23 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 27, 2023
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| Regulatory Notice 23-02 | FINRA Amends FINRA Rule 2231
Effective Date: January 1, 2024
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| Regulatory Notice 23-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Election Notice - 12/16/2022 | FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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| Regulatory Notice 22-31 | FINRA Shares Practices for Obtaining Customers’ Trusted Contacts
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| Regulatory Notice 22-30 | FINRA Re-opens Comment Period for Regulatory Notice 15-13 Seeking Comment on TAF Exemption for Proprietary Trading Firms
Comment Period Expires: March 17, 2023
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| Regulatory Notice 22-29 | FINRA Alerts Firms to Increased Ransomware Risks
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| Regulatory Notice 22-28 | FINRA Adopts Amendments to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Effective Date: November 6, 2023
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| Regulatory Notice 22-27 | FINRA Adopts Enhancements to TRACE Reporting for U.S. Treasury Securities
Effective Dates: May 15, 2023 (Rule 6730(a)(4)) and November 6, 2023 (Rule 6730.04)
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