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 17-40 | FINRA Provides Guidance to Firms Regarding Anti-Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN's Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions Effective Date: *
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| Information Notice – 11/21/17 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Regulatory Notice 17-39 | SEC Approves the CAT Fee Dispute Resolution Process Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)
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| Regulatory Notice 17-38 | FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria Comment Period Expires: January 12, 2018
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| Regulatory Notice 17-37 | SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs) Effective Date: December 6, 2017
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| Regulatory Notice 17-36 | SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File Effective Date: February 1, 2018
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| Regulatory Notice 17-35 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 Payment Deadline: December 18, 2017
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| Election Notice – 10/20/17 | Notice of SFAB Election and Ballots
Ballot Due Date: November 20, 2017
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| Election Notice – 10/20/17 | Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 20, 2017
The District 1 Small Firm seat is no longer contested. Ballots will not be distributed. |
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| Election Notice – 10/20/17 | Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 20, 2017
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| Regulatory Notice 17-34 | FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration Effective Date: October 18, 2017
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| Regulatory Notice 17-33 | Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Effective Date: October 18, 2017
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| Information Notice – 10/17/17 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Regulatory Notice 17-32 | FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products Effective Date: October 16, 2017
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| Regulatory Notice 17-31 | FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format Implementation Date: October 5, 2017
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| Regulatory Notice 17-30 | SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements Effective Date: October 1, 2018
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| Regulatory Notice 17-29 | SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator Effective Date: October 9, 2017
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| Regulatory Notice 17-28 | FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions: New Effective Date: June 25, 2018
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| Election Notice – 9/8/17 | Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
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| Election Notice – 9/8/17 | FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
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| Regulatory Notice 17-27 | Guidance to Members Affected by Hurricane Harvey
FINRA is extending the regulatory relief included in this Notice to firms affected by Hurricanes Irma and Maria. |
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| Regulatory Notice 17-26 | FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
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| Election Notice – 8/21/17 | FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 5, 2017
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| Regulatory Notice 17-25 | SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Effective Date: September 18, 2017
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| Election Notice – 7/21/17 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 17-24 | FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
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| Regulatory Notice 17-23 | SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Effective Date: October 2, 2017
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| Trade Reporting Notice – 6/12/17 | Effective Date for Required Use of TRACE for Treasuries Modifiers
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| Information Notice – 6/9/17 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: July 4, 2017
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| Regulatory Notice 17-22 | FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Effective Date: December 15, 2016
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| Regulatory Notice 17-21 | FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date for changes relating to DOL Fiduciary Rule: June 9, 2017;
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| Election Notice - 5/23/17 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 7, 2017
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| Regulatory Notice 17-20 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Comment Period Expires: June 29, 2017
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| Election Notice – 5/2/17 | Notice of Special Meeting of Large Firms and Proxy
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| Regulatory Notice 17-18 | Guidance on Social Networking Websites and Business Communications
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| Regulatory Notice 17-17 | FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
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| Regulatory Notice 17-16 | FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires: May 30, 2017*
In response to requests for an extension, the comment period has been extended to July 14, 2017. |
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| Regulatory Notice 17-15 | FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Comment Period Expires: May 30, 2017*
In response to requests for an extension, the comment period has been extended to July 14, 2017. In addition, Attachments A and B related to this Notice were updated on 5/24/17 to make a technical correction to subsection (g) of the rule text. |
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| Regulatory Notice 17-14 | FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017*
In response to requests for an extension, the comment period has been extended to July 14, 2017. |
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| Regulatory Notice 17-13 | FINRA's NAC Revises the Sanction Guidelines
Effective Immediately
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