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 |
|---|---|---|
| Regulatory Notice 17-11 | SEC Approves Rules Relating to Financial Exploitation of Seniors
|
|
| Regulatory Notice 17-10 | 2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
|
|
| Special Notice – 3/21/17 | FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017
The comment period has been extended to June 19, 2017 |
|
| Regulatory Notice 17-09 | The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Effective Date: March 15, 2017
|
|
| Election Notice – 3/9/17 | Special Election to Fill FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, April 24, 2017
|
|
| Regulatory Notice 17-08 | SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
Effective Date: May 14, 2018
|
|
| Regulatory Notice 17-07 | Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
|
|
| Regulatory Notice 17-06 | FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Comment Period Expires: March 27, 2017
|
|
| Regulatory Notice 17-05 | FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
Effective Date: February 6, 2017
|
|
| Election Notice – 1/24/17 | 2017 Annual FINRA Election Cycle and Procedures Overview
|
|
| Regulatory Notice 17-04 | SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
Effective Date: January 9, 2017
|
|
| Regulatory Notice 17-02 | SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
Effective Date: January 23, 2017
|
|
| Regulatory Notice 17-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 20, 2017
|
|
| Election Notice – 12/20/16 | FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
|
|
| Information Notice – 12/14/16 | 2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
|
|
| Information Notice – 12/5/16 | 2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524. These due dates take into account the federal holiday calendar as appropriate. |
|
| Trade Reporting Notice – 12/5/16 | Reporting of Information Relating to OTC Trades in NMS Stocks
|
|
| Regulatory Notice 16-44 | SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
Effective Date: January 3, 2017
|
|
| Information Notice – 11/22/16 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
|
|
| Regulatory Notice 16-43 | SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Effective Date: February 27, 2017
|
|
| Regulatory Notice 16-41 | SEC Approves Amendments to Rules Governing Communications With the Public
Effective Date: January 9, 2017
|
|
| Regulatory Notice 16-40 | SEC Approves FINRA "Pay-To-Play" and Related Rules
Effective Date: August 20, 2017
|
|
| Regulatory Notice 16-39 | SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Reporting Implementation Date: July 10, 2017
|
|
| Election Notice – 10/19/16 | Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 18, 2016
|
|
| Regulatory Notice 16-38 | SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Effective Date: March 20, 2017
|
|
| Regulatory Notice 16-37 | SEC Approves FINRA's Capital Acquisition Broker (CAB) Rules
Effective Dates: January 3, 2017 (CAB Member Application and Associated Person Registration Rules) and April 14, 2017 (All Other CAB Rules)
|
|
| Trade Reporting Notice – 10/7/16 | "Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility
FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016. |
|
| Regulatory Notice 16-36 | SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
|
|
| Regulatory Notice 16-35 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
|
| Election Notice – 9/7/16 | FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
|
|
| Election Notice – 9/7/16 | Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
|
|
| 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
|
|
| 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
|
|
| 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
|
|
| Regulatory Notice 16-32 | FINRA Announces New Web-based System for the Collection of Short Interest Positions
Effective Date: January 10, 2017
|
|
| 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. |
|
| 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
|
|
| Regulatory Notice 16-30 | FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
|
|
| 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
|
|
| 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
|