2013 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
 

June 2013
Regulatory Notices
13-21 SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
Posted on: 6/3/2013
Information Notices
6/5/2013 FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations New
Posted on: 6/5/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 6/17/2013
 

May 2013
View Full Month's Notices
Regulatory Notices
13-20 FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Effective Date: Thursday, June 27, 2013
Posted on: 5/28/2013
13-19 SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
Effective Date: November 4, 2013
Posted on: 5/23/2013
13-18 FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
Posted on: 5/2/2013
Election Notices
5/10/2013 Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 24, 2013
Posted on: 5/10/2013
Information Notices
5/1/2013 New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 25, 2013
Posted on: 5/1/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 5/15/2013
 

April 2013
View Full Month's Notices
Regulatory Notices
13-17 2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Posted on: 4/18/2013
13-16 FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2013
Posted on: 4/17/2013
13-15 SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
Effective Date: July 22, 2013
Posted on: 4/12/2013
13-14 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 4/12/2013
13-13 SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Effective Date: May 9, 2013
Posted on: 4/9/2013
Trade Reporting Notices
4/17/2013 Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Posted on: 4/17/2013
Information Notices
4/12/2013 Continuing Education Planning
Posted on: 4/12/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 4/15/2013
 

March 2013
View Full Month's Notices
Regulatory Notices
13-12 FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
Effective Date: April 8, 2013
Posted on: 3/6/2013
13-11 FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
Effective Date: Immediately
Posted on: 3/6/2013
13-10 SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
The OBS has been updated to reflect a technical change requiring reporting in thousands. Use the updated version and its corresponding instructions when submitting the OBS through the eFOCUS platform.
Implementation Date: The initial supplemental schedule disclosing off-balance sheet information as of June 30, 2013, must be filed with FINRA on or before July 31, 2013.
Posted on: 3/4/2013
Trade Reporting Notices
3/25/2013 Reporting Reversals of OTC Trades in Equity Securities
In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.
Effective Date: July 29, 2013
Posted on: 3/25/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 3/15/2013
 

February 2013
View Full Month's Notices
Regulatory Notices
13-09 SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
Effective Date: June 10, 2013
Posted on: 2/28/2013
13-08 FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
Implementation Dates: March 4, 2013, and July 1, 2013
Posted on: 2/15/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 2/15/2013
 

January 2013
View Full Month's Notices
Regulatory Notices
13-07 FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expired: April 1, 2013
Posted on: 1/31/2013
13-06 SEC Approves Amendments to Rule 8210
Effective Date: February 25, 2013
Posted on: 1/25/2013
13-05 FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Comment Period Expired: February 25, 2013
Posted on: 1/24/2013
13-04 SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Effective Date: February 18, 2013
Posted on: 1/18/2013
13-03 FINRA Provides Guidance on New Rules Governing Communications With the Public
Posted on: 1/7/2013
13-02 FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Comment Period Expired: March 5, 2013
Posted on: 1/4/2013
13-01 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 1, 2013
Posted on: 1/2/2013
Information Notices
1/24/2013 November 2012 Supplement to the Options Disclosure Document
Posted on: 1/24/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 1/15/2013