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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| 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a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing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 13-08 | FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
Implementation Dates: March 4, 2013, and July 1, 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 13-07 | 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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| Regulatory Notice 12-55 | Guidance on FINRA's Suitability Rule
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| Information Notice - 12/10/12 | 2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Regulatory Notice 12-54 | Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
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| Election Notice - 12/6/12 | FINRA Announces Results of SFAB, NAC and District Committee Elections
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| Regulatory Notice 12-53 | FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
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| Regulatory Notice 12-52 | SEC Approves Consolidated Front Running Rule
Effective Date: June 1, 2013
Update: 5/3/13: The effective date for compliance with FINRA Rule 5270 has been extended to September 3, 2013. Original Effective Date: June 1, 2013 |
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| Regulatory Notice 12-52 | SEC Approves Consolidated Front Running Rule
Effective Date: June 1, 2013
Update: 5/3/13: The effective date for compliance with FINRA Rule 5270 has been extended to September 3, 2013. Original Effective Date: June 1, 2013 |
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| Information Notice - 12/3/12 | 2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
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| Information Notice - 11/26/12 | Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
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| Information Notice - 11/20/12 | FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
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| Regulatory Notice 12-51 | FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 From November 5, 2012, to November 12, 2012
Revised Effective Date: November 12, 2012
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| Regulatory Notice 12-50 | SEC Approves Amendments Relating to Stop Orders
Effective Date: January 21, 2013
Update 1/9/13: The effective date for compliance with Rule 5350 has been extended to March 4, 2013. Original Effective Date: January 21, 2013 |
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| Regulatory Notice 12-49 | SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
Effective Dates: April 5, 2012, and October 11, 2012
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| Regulatory Notice 12-48 | for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
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| Regulatory Notice 12-47 | FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 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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| Regulatory Notice 12-46 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
Payment Deadline: December 13, 2012
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| Regulatory Notice 12-45 | Guidance to Members Affected by Hurricane Sandy
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| Regulatory Notice 12-44 | SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Effective Dates: October 26, 2012, and January 23, 2013
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| Regulatory Notice 12-43 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 10/19/12 | Continuing Education Planning
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| Election Notice - 10/17/12 | Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 16, 2012
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| Election Notice - 10/17/12 | Notice of FINRA District Committee Election and Ballots
This Notice was updated on October 18, 2012, to update the Large Firm candidates for Districts 7 and 11, and on November 5, 2012, to update the Large Firm candidates for District 3. |