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 |
|---|---|---|
| Election Notice - 10/19/11 | Notice of FINRA Small Firm Advisory Board Election and Ballots
|
|
| Regulatory Notice 11-47 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
|
| Information Notice - 10/14/11 | Continuing Education Planning
|
|
| Regulatory Notice 11-46 | FINRA to Require Electronic Submission of Annual Audit Reports
Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011
|
|
| Regulatory Notice 11-45 | FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Implementation Date: November 7, 2011
|
|
| Regulatory Notice 11-44 | FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expires: November 12, 2011
|
|
| Trade Reporting Notice - 9/23/11 | Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
|
|
| Trade Reporting Notice - 9/23/11 | FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
|
|
| Regulatory Notice 11-43 | FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Comment Period Expires: October 21, 2011
|
|
| Regulatory Notice 11-42 | Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
|
|
| Regulatory Notice 11-41 | FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
|
|
| Election Notice - 9/7/11 | Nomination and Election Process to Fill FINRA District Committee Vacancies
|
|
| Election Notice - 9/7/11 | FINRA Small Firm Advisory Board Election
|
|
| Regulatory Notice 11-40 | SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution
Effective Date: November 1, 2011
|
|
| Regulatory Notice 11-39 | Guidance on Social Networking Websites and Business Communications
|
|
| Regulatory Notice 11-38 | Application of the SEC's Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor's
|
|
| Regulatory Notice 11-37 | Trading Pause Rule Expanded to All NMS Stocks
Effective Date: August 8, 2011
|
|
| Election Notice - 8/5/11 | FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
|
|
| Regulatory Notice 11-36 | Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
The contact for this Notice was updated on 3/20/12. |
|
| Regulatory Notice 11-35 | FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
Effective Date: August 8, 2011
|
|
| Regulatory Notice 11-34 | FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
|
|
| Regulatory Notice 11-33 | SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Effective Date: October 17, 2011
The implementation schedule for non-Day-One Professionals described in this Notice was revised by SR-FINRA-2011-060. Further information on the revised implementation schedule is available in the Operations Professional FAQ. |
|
| Regulatory Notice 11-32 | FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
|
|
| Regulatory Notice 11-31 | Interim Pilot Program on Margin Requirements for Credit Default Swaps
Effective Date: July 16, 2011
This Notice was updated 07/18/11 to reflect approval of the use of an additional margin methodology for purposes of FINRA Rule 4240. |
|
| Election Notice - 6/29/11 | Notice of Annual Meeting of FINRA Firms and Proxy
|
|
| Information Notice - 6/28/11 | FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
The contact for this Notice was updated on 10/25/11. |
|
| Regulatory Notice 11-30 | FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
New Effective Date: October 3, 2011
|
|
| Regulatory Notice 11-29 | Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
|
|
| Regulatory Notice 11-28 | FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Comment Period Expires: August 1, 2011
|
|
| Regulatory Notice 11-27 | SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2011
|
|
| Information Notice - 6/6/11 | FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
|
|
| Trade Reporting Notice - 6/3/11 | FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Effective Date: July 5, 2011
|
|
| Regulatory Notice 11-26 | SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Effective Date: August 1, 2011
|
|
| Regulatory Notice 11-25 | New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Implementation Date: July 9, 2012
|
|
| Regulatory Notice 11-24 | SEC Approves Consolidated FINRA Customer Order Protection Rule
Effective Date: September 12, 2011
|
|
| Regulatory Notice 11-24 | SEC Approves Consolidated FINRA Customer Order Protection Rule
Effective Date: September 12, 2011
|
|
| Trade Reporting Notice - 5/10/11 | Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
|
|
| Regulatory Notice 11-23 | Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
|
|
| Regulatory Notice 11-22 | Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
|
|
| Regulatory Notice 11-21 | SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
Effective Date: January 1, 2012
|