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 21-41 | FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals
Effective Dates: March 15, 2022 (MQP (paragraph (c) of Rule 1240) and FSAWP (Rule 1210.09)); January 1, 2023 (all other rule changes)
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| Information Notice 11/12/21 | 2022 and First Quarter of 2023 Report Filing Due Dates
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| Regulatory Notice 21-40 | FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Accounts
Comment Period Expires: January 18, 2022
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| Regulatory Notice 21-39 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2022
Payment Deadline: Dec. 13, 2021
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| Regulatory Notice 21-38 | FINRA Announces Closure of the OTC Bulletin Board
Effective Date: November 8, 2021
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| Regulatory Notice 21-37 | The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Immediately
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| Election Notice – 10/19/21 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 18, 2021
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| Election Notice – 10/19/21 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 18, 2021
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| Information Notice 10/15/21 | 2022 Holiday Margin Extensions Schedule
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| Regulatory Notice 21-36 | FINRA Encourages Firms to Consider How to Incorporate the Government-wide Anti-Money Laundering and Countering the Financing of Terrorism Priorities Into Their AML Programs
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| Regulatory Notice 21-35 | FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities
Comment Period Expires: December 6, 2021
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| Regulatory Notice 21-34 | FINRA Adopts Rules to Address Firms With a Significant History of Misconduct
Effective Date: January 1, 2022
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| Regulatory Notice 21-33 | FINRA Adopts Amendments to Rule 6432 Regarding Compliance With the Information Requirements of SEC Rule 15c2-11
Effective Date: September 28, 2021
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| Regulatory Notice 21-32 | FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities
Comment Period Expires: November 15, 2021
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| Regulatory Notice 21-31 | FINRA Establishes New Supplemental Liquidity Schedule (SLS)
Effective Date: March 1, 2022. The first SLS must be completed as of the end of March 2022 and will be due by May 4, 2022.
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| Election Notice – 9/1/21 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2021
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| Election Notice – 9/1/21 | Call for Candidates for Upcoming FINRA Regional Committee Election
Nomination Deadline: October 1, 2021
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| Regulatory Notice 21-30 | FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names
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| Regulatory Notice 21-29 | FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
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| Regulatory Notice 21-28 | FINRA Adopts Rule 6439 Governing the Operation of Inter-dealer Quotation Systems and Announces Closure of the OTC Bulletin Board
Effective Date of Rule 6439 (except paragraph (d)(1)(B)): October 1, 2021
Effective Date of Rule 6439(d)(1)(B): June 3, 2022. Member inter-dealer quotation systems are not required to report to FINRA pursuant to Rule 6439 any of the items of information specified in paragraph (d)(1)(B) because the items specified in paragraph (d)(1)(B)(i) through (xi) are subject to reporting to the Consolidated Audit Trail under Rule 6830. |
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| Election Notice – 8/2/21 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Regulatory Notice 21-27 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 21-26 | FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements
Implementation Date: October 1, 2021
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| Regulatory Notice 21-24 | FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
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| Special Notice – 6/30/21 | FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
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| Regulatory Notice 21-23 | FINRA Reminds Member Firms of Requirements Concerning Best Execution and Payment for Order Flow
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| Regulatory Notice 21-22 | FINRA Alerts Firms to Phishing Email From “FINRA Support” From the Domain Name “westour.org”
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| Regulatory Notice 21-21 | FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective Date: September 1, 2021
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| Regulatory Notice 21-20 | FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name
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| Regulatory Notice 21-19 | FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Comment Period Expires: August 4, 2021
FINRA has extended the comment period to September 30, 2021. |
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| Information Notice 6/3/21 | Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements; Revised Supplemental Inventory Schedule
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| Regulatory Notice 21-18 | FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts
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| Regulatory Notice 21-17 | FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Comment Period Expires: June 28, 2021
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| Special Notice – 4/28/21 | 2021 Election Process Overview
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| Regulatory Notice 21-16 | FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
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| Regulatory Notice 21-15 | FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
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| Regulatory Notice 21-14 | FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse
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| Regulatory Notice 21-13 | FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
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| Regulatory Notice 21-12 | FINRA Reminds Member Firms of Their Obligations Regarding Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
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| Regulatory Notice 21-11 | FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Comment Period Expires: May 14, 2021
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