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 13-28 | FINRA Revises the Series 16 Examination Program
Implementation Date: October 28, 2013
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| Regulatory Notice 13-27 | SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Effective Date: December 16, 2013
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| Regulatory Notice 13-26 | FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
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| Regulatory Notice 13-25 | FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
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| Election Notice - 8/2/13 | FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
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| Trade Reporting Notice - 8/1/13 | Frequently Asked Questions Regarding TRACE Reporting
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| Regulatory Notice 13-24 | FINRA Announces Modifications Regarding Historic TRACE Data
Effective Date: July 22, 2013
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| Regulatory Notice 13-23 | FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
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| Election Notice - 7/5/13 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 13-22 | FINRA Revises the Series 55 Examination Program
Implementation Date: August 12, 2013
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| Information Notice - 6/5/13 | FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
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| Regulatory Notice 13-21 | SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
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| Regulatory Notice 13-20 | FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Effective Date: June 27, 2013
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| Regulatory Notice 13-19 | SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
Effective Date: November 4, 2013
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| Election Notice - 5/10/13 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 24, 2013
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| Regulatory Notice 13-18 | FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
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| Information Notice - 5/1/13 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 25, 2013
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| Regulatory Notice 13-17 | 2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 13-16 | FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2013
The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38. |
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| Trade Reporting Notice - 4/16/13 | Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
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| Regulatory Notice 13-15 | SEC Approves Amendments to FINRA Rule 6730(d) (2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
Effective Date: July 22, 2013
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| Regulatory Notice 13-14 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 4/13/13 | Continuing Education Planning
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| Regulatory Notice 13-13 | SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Effective Date: May 9, 2013
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| Trade Reporting Notice - 3/25/13 | Reporting Reversals of OTC Trades in Equity Securities
Effective Date: July 29, 2013
In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013. |
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| Regulatory Notice 13-12 | FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
Effective Date: April 8, 2013
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| Regulatory Notice - 13-11 | FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
Effective Date: Immediately
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| Regulatory Notice - 13-10 | SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items*
The OBS was updated on April 5, 2016. See Regulatory Notice 16-11. Use the updated version and its corresponding instructions when submitting the OBS through the eFOCUS platform. |
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| Regulatory Notice - 13-09 | SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
Effective Date: June 10, 2013
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| Regulatory Notice 13-07 | FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expires: April 1, 2013
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| Regulatory Notice 13-06 | SEC Approves Amendments to Rule 8210
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| Regulatory Notice 13-05 | FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
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| Information Notice - 1/24/13 | November 2012 Supplement to the Options Disclosure Document
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| Regulatory Notice 13-04 | SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Effective Date: February 18, 2013
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| Regulatory Notice 13-03 | FINRA Provides Guidance on New Rules Governing Communications With the Public
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| Regulatory Notice 13-02 | FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Comment Period Expires: March 5, 2013
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| Regulatory Notice 13-01 | Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 1, 2013
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| Regulatory Notice 12-58 | SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities
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| Regulatory Notice 12-57 | SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Effective Date: January 22, 2013
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| Regulatory Notice 12-56 | SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
Effective Date: July 22, 2013
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