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 14-44 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Payment Deadline: December 12, 2014
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| Regulatory Notice 14-42 | SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
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| Election Notice - 10/15/14 | Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
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| Election Notice - 10/15/14 | Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 14, 2014
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| Election Notice - 10/15/14 | Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 14, 2014
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| Regulatory Notice 14-41 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 10/10/14 | Continuing Education Planning
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| Regulatory Notice 14-40 | Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
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| Information Notice 10/7/14 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Regulatory Notice 14-38 | FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 14-37 | FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
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| Information Notice - 9/25/14 | Individual Snapshot Reports Now Available Online
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| Regulatory Notice 14-36 | FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports
Fees for ORF Trade Reporting and Data; Effective Dates: September 30, 2014 (Elimination of OTCBB Historical Research Reports); November 17, 2014 (ORF Fees)
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| Regulatory Notice 14-35 | FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
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| Election Notice - 9/3/14 | FINRA Small Firm Advisory Board Election
Nomination Deadline: October 3, 2014
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| Election Notice - 9/3/14 | Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 3, 2014
This Election Notice was updated on 9/4/14 to include an additional partial term vacancy for District 5. |
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| Regulatory Notice 14-33 | FINRA Revises the Series 24 and 23 Examination Programs
Implementation Date: October 13, 2014
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| Regulatory Notice 14-32 | FINRA Amends FINRA Rule 9120 and the Definition of "Hearing Officer"
Implementation Date: August 12, 2014
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| Election Notice - 8/1/14 | FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 15, 2014
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| Regulatory Notice 14-31 | SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
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| Regulatory Notice 14-30 | SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Effective Date: July 11, 2014
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| Trade Reporting Notice - 7/11/14 | Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
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| Information Notice 7/10/14 | Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
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| Election Notice - 7/9/14 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 14-29 | FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Comment Period Expires: September 2, 2014
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| Regulatory Notice 14-28 | SEC Approves FINRA Rule Concerning Self-Trades
Effective Date: August 25, 2014
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| Regulatory Notice 14-27 | SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
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| Regulatory Notice 14-26 | New Payments for Market Making Certification Requirement for FINRA Form 211
Effective Date: July 7, 2014
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| Regulatory Notice 14-25 | FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 14-24 | April 2014 Supplement to the Security Futures Risk Disclosure Statement
Implementation Date: June 23, 2014
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| Regulatory Notice 14-23 | FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain "Hybrid" Securities to FINRA
Effective Date: June 16, 2014
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| Regulatory Notice 14-22 | SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Provide an Exemption From the Filing Requirements for Certain Collective Investment Vehicles; and Clarify the Electronic Filing Requirement*
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| Regulatory Notice 14-21 | SEC Approves Amendments to Equity Trade Reporting and OATS Rules
Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015
The effective date for ADF and TRFs (remaining amendments) has been extended to July 13, 2015. Original effective date: April 20, 2015. The effective date for ADF and TRFs (remaining amendments) has been extended to April 20, 2015. Original effective date: First Quarter 2015. The effective date for ADF and TRFs (millisecond reporting) has been extended to November 10, 2014. Original effective date: September 29, 2014. The effective date for ORF has been extended to November 17, 2014. Original effective date: September 15, 2014. |
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| Regulatory Notice 14-20 | FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Implementation Date: October 1, 2014
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| Election Notice - 5/6/14 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 20, 2014
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| Regulatory Notice 14-19 | FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Comment Period Expires: June 16, 2014
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| Regulatory Notice 14-18 | FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Implementation Date: June 16, 2014
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| Regulatory Notice 14-17 | 2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 14-16 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 4/11/14 | Continuing Education Planning
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