Regulation
2012 Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order, and you may view them by subject.
| January | February | March | April | May | June | July | August | September | October | November | December |
December 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-58
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Posted on: 12/27/2012
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12-57
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Effective Date: January 22, 2013
Posted on: 12/21/2012
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12-56
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
Effective Date: July 22, 2013
Posted on: 12/20/2012
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12-55
Guidance on FINRA’s Suitability Rule
Posted on: 12/10/2012
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12-54
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
Posted on: 12/7/2012
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12-53
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Posted on: 12/3/2012
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12-52
SEC Approves Consolidated Front Running Rule
Update: 5/3/13: The effective date for compliance with FINRA Rule 5270 has been extended to September 3, 2013. Original Effective Date: June 1, 2013
Effective Date: June 1, 2013
Posted on: 12/3/2012
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| Election Notices |
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12/6/2012
FINRA Announces Results of SFAB, NAC and District Committee Elections
Posted on: 12/6/2012
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| Information Notices |
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12/10/2012
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Posted on: 12/10/2012
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12/3/2012
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
Posted on: 12/3/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 12/17/2012
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November 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-51
FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from November 5, 2012, to November 12, 2012
Revised Effective Date: November 12, 2012
Posted on: 11/2/2012
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12-50
SEC Approves Amendments Relating to Stop Orders
Update 1/9/13: The effective date for compliance with Rule 5350 has been extended to March 4, 2013. Original Effective Date: January 21, 2013
Effective Date: March 4, 2013
Posted on: 11/2/2012
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12-49
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
Effective Dates: April 5, 2012, and October 11, 2012
Posted on: 11/1/2012
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12-48
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
Revised Effective Date: November 12, 2012
Posted on: 11/1/2012
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| Information Notices |
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11/26/2012
Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
Posted on: 11/26/2012
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11/20/2012
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
Posted on: 11/20/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 11/15/2012
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October 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-47
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
The effective date for compliance with certain elements identified in this Notice has been extended to November 1, 2013. See Regulatory Notice 13-16.
Effective Dates: May 1, 2013 and November 1, 2013
Posted on: 10/31/2012
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12-46
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
Payment Deadline: December 13, 2012
Posted on: 10/31/2012
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12-45
Guidance to Members Affected by Hurricane Sandy
Posted on: 10/30/2012
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12-44
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Effective Dates: October 26, 2012, and January 23, 2013
Posted on: 10/26/2012
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12-43
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 10/19/2012
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12-42
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.
Comment Period Expired: December 20, 2012
Posted on: 10/11/2012
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| Election Notices |
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10/17/2012
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 16, 2012
Posted on: 10/17/2012
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10/17/2012
Notice of FINRA Small Firm Advisory Board Election and Ballots
Ballot Due: November 16, 2012
Posted on: 10/17/2012
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10/17/2012
Notice of FINRA District Committee Election and Ballots
This Notice was updated on October 18, 2012, to update the Large Firm candidates for Districts 7 and 11, and on November 5, 2012, to update the Large Firm candidates for District 3.
Posted on: 10/17/2012
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| Information Notices |
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10/19/2012
Continuing Education Planning
Posted on: 10/19/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 10/15/2012
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September 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-41
FINRA Amends the TAF Rate for Transactions in Covered Security Futures
Effective Date: October 1, 2012
Posted on: 9/26/2012
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12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Effective Date: December 3, 2012
Posted on: 9/5/2012
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12-39
FINRA Requests Comment on TRACE Dissemination Issues
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.)
Comment Period Expires: October 10, 2012
Posted on: 9/5/2012
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| Election Notices |
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9/5/2012
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 5, 2012
Posted on: 9/5/2012
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9/5/2012
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 5, 2012
Posted on: 9/5/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 9/17/2012
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August 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-38
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Effective Date: November 30, 2012
Posted on: 8/24/2012
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12-37
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
The implementation date has been delayed until November 12, 2012.
Effective Date: November 5, 2012
Posted on: 8/3/2012
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| Election Notices |
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8/3/2012
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
Posted on: 8/3/2012
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| Information Notices |
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8/28/2012
Guidance for Firms Potentially Affected by Hurricane Isaac
Posted on: 8/28/2012
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8/17/2012
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012
Posted on: 8/17/2012
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8/1/2012
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective Date: September 1, 2012
Posted on: 8/1/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 8/15/2012
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July 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-36
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
The effective date for compliance with certain elements identified in this Notice has been extended to November 1, 2013. See Regulatory Notice 13-16.
Effective Dates: November 30, 2012, May 1, 2013 and November 1, 2013
Posted on: 7/18/2012
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12-35
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Effective Date: August 6, 2012
Posted on: 7/6/2012
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12-34
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expired: August 31, 2012
Posted on: 7/5/2012
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12-33
FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
The July 23, 2012, implementation date for required use of the new electronic Form CMA has been revised by SR-FINRA-2012-036 to August 27, 2012. However, firms may begin using the electronic Form CMA on July 23, 2012. The implementation date for the amended electronic Form NMA remains July 23, 2012.
Implementation Date: July 23, 2012
Posted on: 7/5/2012
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| Election Notices |
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7/9/2012
Notice of Annual Meeting of FINRA Firms and Proxy
Posted on: 7/9/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 7/16/2012
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June 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-32
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business.
Effective Dates: July 2, 2012: Advertising and Corporate Financing fees; July 23, 2012: New and Continuing Membership Application fees; January 2, 2013: CRD and Branch Office Annual Reg. fees
Posted on: 6/26/2012
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12-31
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2012
Posted on: 6/25/2012
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12-30
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
Effective Date: July 23, 2012
Posted on: 6/22/2012
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12-29
SEC Approves New Rules Governing Communications With the Public
Effective Date: February 4, 2013
Posted on: 6/14/2012
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12-28
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
Effective Date: July 9, 2012
Posted on: 6/8/2012
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12-27
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Comment Period Expired: July 23, 2012
Posted on: 6/6/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 6/15/2012
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May 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-26
SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
Effective Date: November 5, 2012
Posted on: 5/21/2012
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12-25
Additional Guidance on FINRA’s New Suitability Rule
The answers to questions 6, 7 and 10 have been superseded by the answers provided in Regulatory Notice 12-55.
Implementation Date: July 9, 2012
Posted on: 5/18/2012
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12-24
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
Posted on: 5/15/2012
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12-23
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Comment Period Expired: June 4, 2012
Posted on: 5/4/2012
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| Election Notices |
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5/11/2012
Nominees for Upcoming FINRA Board of Governors Election
Posted on: 5/11/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 5/15/2012
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April 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-22
New Electronic Filing System for Public Offering Filings
Posted on: 4/30/2012
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12-21
SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
Posted on: 4/20/2012
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12-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 4/13/2012
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12-19
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Effective Date: June 4, 2012
Posted on: 4/11/2012
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12-18
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expired: May 21, 2012
Posted on: 4/5/2012
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12-17
SEC Approves Consolidated Telemarketing Rule
Posted on: 4/2/2012
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| Information Notices |
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4/13/2012
Continuing Education Planning
Posted on: 4/13/2012
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4/2/2012
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
Posted on: 4/2/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 4/16/2012
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March 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-16
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Effective Date: April 2, 2012
Posted on: 3/27/2012
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12-15
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Effective Date: February 23, 2012
Posted on: 3/14/2012
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12-14
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Comment Period Expired: April 11, 2012
Posted on: 3/7/2012
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12-13
SEC Approves Consolidated FINRA Best Execution Rule
Effective Date: May 31, 2012
Posted on: 3/2/2012
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12-12
SEC Approves Amendments to FINRA’s Code of Procedure
Effective Date: March 30, 2012
Posted on: 3/1/2012
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| Information Notices |
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3/1/2012
Revised Fee for Fingerprint Processing
Effective Date: March 19, 2012
Posted on: 3/1/2012
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3/8/2012
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 1, 2012
Posted on: 3/8/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 3/15/2012
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February 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-11
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
The SSOI has been updated to reflect technical amendments made on June 26, 2012. Use the updated version and its corresponding instructions when submitting the SSOI through the eFOCUS platform.
The implementation date of FINRA Rule 4524 is February 28, 2012. The due date of the initial SSOI, covering the quarter ending September 30, 2012, is October 26, 2012
Posted on: 2/28/2012
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12-10
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
The comment period was extended to April 27, 2012.
Comment Period Expired: April 27, 2012
Posted on: 2/21/2012
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12-09
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 2, 2012
Posted on: 2/17/2012
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12-08
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
Effective Date: January 26, 2012
Posted on: 2/10/2012
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12-07
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
Comment Period Expired March 26, 2012
Posted on: 2/8/2012
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| Information Notices |
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2/29/2012
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Posted on: 2/29/2012
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2/9/2012
January 2012 Supplement to the Options Disclosure Document
Posted on: 2/9/2012
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2/3/2012
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 21, 2012
Posted on: 2/3/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 2/15/2012
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January 2012 |
| View Full Month's Notices |
| Regulatory Notices |
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12-06
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: March 1, 2012
Posted on: 1/31/2012
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12-05
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
Posted on: 1/26/2012
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12-04
SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
Effective Date: February 21, 2012
Posted on: 1/18/2012
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12-03
Heightened Supervision of Complex Products
Posted on: 1/17/2012
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12-02
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Posted on: 1/13/2012
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12-01
Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 3, 2012
Posted on: 1/3/2012
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| Disciplinary Actions |
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Disciplinary and Other FINRA Actions
Posted on: 1/17/2012
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