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 12-35 | Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA's Mediator Roster
Effective Date: August 6, 2012
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| Regulatory Notice 12-34 | FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expires: August 31, 2012
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| Regulatory Notice 12-33 | FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
Implementation Date: July 23, 2012
The July 23, 2012, implementation date for required use of the new electronic Form CMA has been revised by SR-FINRA-2012-036 to August 27, 2012. However, firms may begin using the electronic Form CMA on July 23, 2012. The implementation date for the amended electronic Form NMA remains July 23, 2012. |
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| Regulatory Notice 12-32 | Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business. |
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| Regulatory Notice 12-31 | SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2012
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| Regulatory Notice 12-30 | SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
Effective Date: July 23, 2012
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| Regulatory Notice 12-29 | SEC Approves New Rules Governing Communications With the Public
Effective Date: February 4, 2013
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| Regulatory Notice 12-28 | SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
Effective Date: July 9, 2012
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| Regulatory Notice 12-27 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Comment Period Expires: July 23, 2012
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| Regulatory Notice 12-26 | SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
Effective Date: November 5, 2012
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| Regulatory Notice 12-25 | Additional Guidance on FINRA's New Suitability Rule
Implementation Date: July 9, 2012
The answers to questions 6, 7 and 10 have been superseded by the answers provided in Regulatory Notice 12-55. |
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| Regulatory Notice 12-24 | FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
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| Election Notice - 5/11/12 | Nominees for Upcoming FINRA Board of Governors Election
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| Regulatory Notice 12-23 | FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Comment Period Expires: June 4, 2012
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| Regulatory Notice 12-22 | New Electronic Filing System for Public Offering Filings
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| Regulatory Notice 12-21 | SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
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| Regulatory Notice 12-20 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 4/13/12 | Continuing Education Planning
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| Regulatory Notice 12-19 | FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Effective Date: June 4, 2012
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| Regulatory Notice 12-18 | on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expires: May 21, 2012
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| Regulatory Notice 12-17 | SEC Approves Consolidated Telemarketing Rule
Effective Date: June 29, 2012
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| Information Notice - 4/2/12 | FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
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| Regulatory Notice 12-16 | Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Effective Date: April 2, 2012
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| Regulatory Notice 12-15 | SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Effective Date: February 23, 2012
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| Information Notice - 3/8/12 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 1, 2012
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| Regulatory Notice 12-14 | on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Comment Period Expires: April 11, 2012
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| Regulatory Notice 12-13 | SEC Approves Consolidated FINRA Best Execution Rule
Effective Date: May 31, 2012
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| Regulatory Notice 12-12 | SEC Approves Amendments to FINRA's Code of Procedure
Effective Date: March 30, 2012
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| Information Notice - 3/1/12 | Revised Fee for Fingerprint Processing
Effective Date: March 19, 2012
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| Information Notice 2/9/12 | FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
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| Regulatory Notice 12-11 | SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
The SSOI has been updated to reflect technical amendments made on June 26, 2012. Use the updated version and its corresponding instructions when submitting the SSOI through the eFOCUS platform. |
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| Regulatory Notice 12-10 | FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Comment Period Expires: April 27, 2012
The comment period was extended to April 27, 2012. |
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| Regulatory Notice 12-09 | FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: April 2, 2012
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| Regulatory Notice 12-08 | SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
Effective Date: January 26, 2012
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| Information Notice - 2/9/12 | January 2012 Supplement to the Options Disclosure Document
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| Regulatory Notice 12-07 | FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
Comment Period Expires March 26, 2012
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| Information Notice - 2/3/12 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 21, 2012
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| Regulatory Notice 12-06 | SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: March 1, 2012
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| Regulatory Notice 12-05 | Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
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| Regulatory Notice 12-04 | SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
Effective Date: February 21, 2012
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