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 10-34 | SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
This Notice was updated to renumber the footnotes. |
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| Regulatory Notice 10-33 | FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Comment Period Expires: August 18, 2010
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| Election Notice - 7/12/10 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 10-32 | SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
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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 Notices 10-29 | SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Effective Date: November 1, 2010
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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 10-21 | SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Effective Date: June 14, 2010
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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 10-10 | 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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