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 | July | August | September | October | November | December
 

December 2013

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Regulatory Notices
13-45 FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
Posted on: 12/30/2013
13-44 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Posted on: 12/23/2013
13-43 SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
Effective Date: February 3, 2014
Posted on: 12/23/2013
13-42 FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
See 3/4/14 FINRA update to this Notice.
The comment period has been extended to March 21, 2014.
Comment Period Expires: February 21, 2014
Posted on: 12/23/2013
13-41 eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, 2014, Reporting Period
Posted on: 12/19/2013
Election Notices
12/17/2013 FINRA Announces Results of SFAB, NAC and District Committee Elections
Posted on: 12/17/2013
Information Notices
12/23/2013 2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Posted on: 12/23/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 12/16/2013
 

November 2013

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Regulatory Notices
13-40 SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Effective Date: December 2, 2013
Posted on: 11/15/2013
13-39 SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Effective Date: November 7, 2013
Posted on: 11/7/2013
13-38 FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 1, 2014
Posted on: 11/1/2013
13-37 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
Payment Deadline: December 13, 2013
Posted on: 11/1/2013
Election Notices
11/25/2013 Small Firm Advisory Board Runoff Election
Posted on: 11/25/2013
Information Notices
11/26/2013 FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Posted on: 11/26/2013
11/12/2013 Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Posted on: 11/12/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 11/15/2013
 

October 2013

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Regulatory Notices
13-36 FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Implementation Date: December 16, 2013
Posted on: 10/31/2013
13-35 SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
Effective Date: June 30, 2014
Posted on: 10/30/2013
13-34 FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expired: February 3, 2014
Posted on: 10/23/2013
13-33 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 10/18/2013
13-32 SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
Effective Date: September 26, 2013
Posted on: 10/9/2013
Election Notices
10/16/2013 Notice of FINRA District Committee Elections and Ballots
Posted on: 10/16/2013
10/16/2013 Notice of SFAB Election and Ballots
Posted on: 10/16/2013
Information Notices
10/25/2013 Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Effective Date: October 26, 2013
Posted on: 10/25/2013
10/18/2013 Continuing Education Planning
Posted on: 10/18/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 10/15/2013
 

September 2013

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Regulatory Notices
13-31 FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Posted on: 9/25/2013
13-30 SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Posted on: 9/23/2013
13-29 FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Comment Period Expired: November 4, 2013
Posted on: 9/20/2013
Election Notices
9/4/2013 Upcoming Election to Fill FINRA District Committee Vacancies
Posted on: 9/4/2013
9/4/2013 FINRA Small Firm Advisory Board Election
Posted on: 9/4/2013
Information Notices
9/20/2013 New S901 Regulatory Element Continuing Education Program
Posted on: 9/20/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 9/16/2013
 

August 2013

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Regulatory Notices
13-28 FINRA Revises the Series 16 Examination Program
Implementation Date: October 28, 2013
Posted on: 8/28/2013
13-27 SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Effective Date: December 16, 2013
Posted on: 8/20/2013
13-26 FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Posted on: 8/19/2013
13-25 FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Posted on: 8/16/2013
Election Notices
8/2/2013 FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
Posted on: 8/2/2013
Trade Reporting Notices
8/1/2013 Frequently Asked Questions Regarding TRACE Reporting
Posted on: 8/1/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 8/15/2013
 

July 2013

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Regulatory Notices
13-24 FINRA Announces Modifications Regarding Historic TRACE Data
Effective Date: July 22, 2013
Posted on: 7/22/2013
13-23 FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Posted on: 7/18/2013
Election Notices
7/5/2013 Notice of Annual Meeting of FINRA Firms and Proxy
Posted on: 7/5/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 7/15/2013
 

June 2013

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Regulatory Notices
13-22 FINRA Revises the Series 55 Examination Program
Implementation Date: August 12, 2013
Posted on: 6/28/2013
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
Posted on: 6/5/2013
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 6/17/2013
 

May 2013

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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

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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
The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38.
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

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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

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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

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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