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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| 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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| 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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| Regulatory Notice 12-03 | Heightened Supervision of Complex Products
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| Regulatory Notice 12-02 | FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
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| Regulatory Notice 12-01 | Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 3, 2012
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| Trade Reporting Notice - 12/21/11 | FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
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| Information Notice - 12/15/11 | 2012 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Election Notice - 12/14/11 | Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
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| Regulatory Notice 11-56 | FINRA and ISG Enhance Electronic Blue Sheet Submissions
Effective Date: August 31, 2012
FINRA and the other ISG interested members have extended the effective date for Regulatory Notice 11-56 to November 30, 2012, and May 1, 2013. See Regulatory Notice 12-47. |
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| Regulatory Notice 11-55 | FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
Effective Date: December 15, 2011
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| Information Notice - 12/1/11 | 2012 Annual Audit and FOCUS Report Filing Deadlines
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| Regulatory Notice 11-54 | FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
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| Election Notice - 11/29/11 | FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
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| Information Notice - 11/28/11 | Continuing Education
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| Regulatory Notice 11-53 | SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
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| Regulatory Notice 11-52 | FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
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| Trade Reporting Notice – 11/7/11 | Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
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| Regulatory Notice 11-51 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
Payment Deadline: December 12, 2011
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| Regulatory Notice 11-50 | SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Effective Date: December 2, 2011
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| Information Notice - 10/28/11 | FINRA Entitlement User Account Certification
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| Regulatory Notice 11-49 | FINRA Provides Guidance on Advertising Regulation Issues
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| Election Notice - 10/25/11 | Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
The special meeting of large firms will take place on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA's Washington, DC, office at 1735 K Street, NW. Please see Election Notice 12/14/11 for details. |
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| Regulatory Notice 11-48 | FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Comment Period Expires: December 9, 2011
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| Election Notice - 10/19/11 | Notice of FINRA Small Firm Advisory Board Election and Ballots
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| Election Notice - 10/19/11 | Notice of FINRA District Committee Election and Ballots
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