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 13-45 | FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
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Regulatory Notice 13-44 | FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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Regulatory Notice 13-43 | SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
Effective Date: February 3, 2014
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Regulatory Notice 13-42 | FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Comment Period Expires: March 21, 2014
See 3/4/14 FINRA update to this Notice. The comment period has been extended to March 21, 2014. |
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Information Notice - 12/23/13 | 2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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Regulatory Notice 13-41 | eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, 2014, Reporting Period
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Election Notice - 12/17/13 | FINRA Announces Results of SFAB, NAC and District Committee Elections
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Information Notice - 11/26/13 | FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
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Election Notice - 11/25/13 | Small Firm Advisory Board Runoff Election
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Regulatory Notice 13-40 | SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Effective Date: December 2, 2013
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Information Notice - 11/12/13 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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Regulatory Notice 13-39 | SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Effective Date: November 7, 2013
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Regulatory Notice 13-38 | FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 1, 2014
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Regulatory Notice 13-37 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
Payment Deadline: December 13, 2013
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Regulatory Notice 13-36 | FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Implementation Date: December 16, 2013
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Regulatory Notice 13-35 | SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
Effective Date: June 30, 2014
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Information Notice - 10/25/13 | Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Effective Date: October 26, 2013
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Regulatory Notice 13-34 | FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expires: February 3, 2014
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Regulatory Notice 13-33 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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Information Notice - 10/18/13 | Continuing Education Planning
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Election Notice 10/16/13 | Notice of FINRA District Committee Elections and Ballots
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Election Notice 10/16/13 | Notice of SFAB Election and Ballots
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Regulatory Notice 13-32 | SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA's Minor Rule Violation Plan
Effective Date: September 26, 2013
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Regulatory Notice 13-31 | FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
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Regulatory Notice 13-30 | SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Effective Date: September 30, 2013
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Regulatory Notice 13-29 | FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: November 4, 2013
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Regulatory Notice 13-29 | FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: November 4, 2013
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Information Notice - 9/20/13 | New S901 Regulatory Element Continuing Education Program
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Election Notice - 9/4/13 | Upcoming Election to Fill FINRA District Committee Vacancies
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Election Notice - 9/4/13 | FINRA Small Firm Advisory Board Election
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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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