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 10-31 | Change to Expedited Proceedings for Failure to Comply with an Arbitration Award or Related Settlement
Effective Date: July 2, 2010
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| Regulatory Notice 10-30 | SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility
Effective Date: June 10, 2010
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| Information Notice 6/15/10 | May 2010 Supplement to the Options Disclosure Document
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| Regulatory Notice 10-28 | New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
Effective Dates: August 23, 2010 (Phase I); November 8, 2010 (Phase II)
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| Regulatory Notice 10-27 | Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
Effective Date: July 1, 2010
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| Regulatory Notice 10-26 | SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
Effective Date: June 28, 2010
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| Regulatory Notice 10-25 | FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Comment Period Expires: July 12, 2010
The comment period was extended to July 30, 2010. |
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| Information Notice - 5/26/10 | DTCC to Provide FINRA Access to Participant Position Reports
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| Election Notice - 5/4/10 | Nominees for FINRA Board of Governors
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| Regulatory Notice 10-24 | SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Effective Date: November 1, 2010
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| Regulatory Notice 10-23 | SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Effective Date: February 14, 2011
The new effective date for reporting asset-backed securities to TRACE is May 16, 2011. See Regulatory Notice 10-55. |
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| Regulatory Notice 10-22 | Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
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| Information Notice - 4/20/10 | Change for Scheduling Exam and CE Sessions
This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10. |
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| Regulatory Notice 10-20 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice 4/15/10 | Continuing Education Planning
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| Regulatory Notice 10-19 | FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
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| Regulatory Notice 10-18 | FINRA Issues Guidance on Master and Sub-Account Arrangements
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| Regulatory Notice 10-17 | Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
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| Regulatory Notice 10-16 | Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Effective Date: May 3, 2010
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| Regulatory Notice 10-15 | FINRA Requirements for Subordinations
Availability of New Standard Forms
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| Election Notice - 3/29/10 | FINRA Announces Election Results for District Committees, District Nominating Committees
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| Information Notice - 3/24/10 | New Firm Requirement to Designate a Super Account Administrator
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| Information Notice - 3/10/10 | Information Notice 3/10/10
Effective Date: April 1, 2010
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| Regulatory Notice 10-14 | SEC Approves Access to Historic TRACE Data and Related Fees Effective Date: March 31, 2010
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| Regulatory Notice 10-13 | SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
Effective Date: March 25, 2010
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| Regulatory Notice 10-12 | Guidance on FAS 167 for FOCUS Reporting
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| Regulatory Notice 10-11 | Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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| Regulatory Notice 10-10 | SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: April 19, 2010
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| Regulatory Notice 10-09 | FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
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| Election Notice - 2/12/10 | Nominees for the District Committees and District Nominating Committees
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| Regulatory Notice 10-08 | Filing Requirements for Members that Carry Customer Margin Accounts
New Customer Margin Balance Form; Effective Date of Rule Requirements: February 8, 2010; Availability of New Form: March 1, 2010
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| Trade Reporting Notice - 2/8/10 | FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
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| Regulatory Notice 10-07 | SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Effective Date: April 12, 2010
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| Regulatory Notice 10-06 | Guidance on Blogs and Social Networking Web Sites
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| Regulatory Notice 10-05 | FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
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| Regulatory Notice 10-04 | SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
Effective Date: February 15, 2010
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| Regulatory Notice 10-03 | FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Comment Period Expires: March 8, 2010
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| Regulatory Notice 10-02 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
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| Regulatory Notice 10-01 | Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: March 5, 2010
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| Information Notice 12/29/09 | December 2009 Supplement to the Options Disclosure Document
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