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 14-46 | FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as "Out of Sequence" and Not Last Sale Eligible
Comment Period Expires: Friday, January 9, 2015*
The comment period has been extended to February 20, 2015. |
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| Regulatory Notice 14-45 | SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Effective Date: September 26, 2014
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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 14-43 | SEC Approves Supplemental Inventory Schedule
Implementation Date: on or before January 30, 2015
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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 FINRA District Committee Elections and Ballots
Ballots Due: November 14, 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 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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| Regulatory Notice 14-39 | New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
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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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| 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 14-34 | SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Effective Date: April 27, 2015*
3/3/15: The effective date has been extended from April 27, 2015, to June 1, 2015. |
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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 14-28 | 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 14-26 | 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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