2014 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
 

November 2014

Regulatory Notices
14-52 FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions New
Comment Period Expires: January 20, 2015
Posted on: 11/17/2014
14-51 Equity Trading Initiatives: OATS and ATS Reporting Requirements New
Comment Period Expires: January 13, 2015
Posted on: 11/14/2014
14-50 FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule New
Comment Period Expires: December 15, 2014
Posted on: 11/14/2014
14-49 SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees New
Effective Date: December 15, 2014
Posted on: 11/14/2014
14-48 FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems New
Comment Period Expires: Friday, January 9, 2015
Posted on: 11/12/2014
14-47 FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements New
Comment Period Expires: Friday, January 9, 2015
Posted on: 11/12/2014
14-46 FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible New
Comment Period Expires: Friday, January 9, 2015
Posted on: 11/12/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 11/17/2014
 

October 2014

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Regulatory Notices
14-45 SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Effective Date: September 26, 2014
Posted on: 10/31/2014
14-44 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Payment Deadline: December 12, 2014
Posted on: 10/27/2014
14-43 SEC Approves Supplemental Inventory Schedule
Implementation Date: The initial Supplemental Inventory Schedule disclosing inventory positions as of December 31, 2014, must be filed with FINRA on or before January 30, 2015.
Posted on: 10/23/2014
14-42 SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
Posted on: 10/17/2014
14-41 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 10/10/2014
14-40 Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Posted on: 10/9/2014
14-39 New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
Posted on: 10/8/2014
14-38 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Posted on: 10/6/2014
Election Notices
10/15/2014 Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
Posted on: 10/15/2014
10/15/2014 Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 14, 2014
Posted on: 10/15/2014
10/15/2014 Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 14, 2014
Posted on: 10/15/2014
Information Notices
10/10/2014 Continuing Education Planning
Posted on: 10/10/2014
10/7/2014 Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Posted on: 10/7/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 10/15/2014
 

September 2014

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Regulatory Notices
14-37 FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
Posted on: 9/30/2014
14-36 FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
Effective Dates: September 30, 2014 (Elimination of OTCBB Historical Research Reports); November 17, 2014 (ORF Fees)
Posted on: 9/17/2014
14-35 FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
Posted on: 9/16/2014
Election Notices
9/3/2014 FINRA Small Firm Advisory Board Election
Nomination Deadline: October 3, 2014
Posted on: 9/3/2014
9/3/2014 Upcoming Election to Fill FINRA District Committee Vacancies
This Election Notice was updated on 9/4/14 to include an additional partial term vacancy for District 5.
Nomination Deadline: October 3, 2014
Posted on: 9/3/2014
Information Notices
9/25/2014 Individual Snapshot Reports Now Available Online
Posted on: 9/25/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 9/15/2014
 

August 2014

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Regulatory Notices
14-34 SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Effective Date: April 27, 2015
Posted on: 8/22/2014
14-33 FINRA Revises the Series 24 and 23 Examination Programs
Implementation Date: October 13, 2014
Posted on: 8/13/2014
14-32 FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
Implementation Date: August 12, 2014
Posted on: 8/6/2014
Election Notices
8/1/2014 FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 15, 2014
Posted on: 8/1/2014
 

Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 8/15/2014
 

July 2014

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Regulatory Notices
14-31 SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
Posted on: 7/30/2014
14-30 SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Effective Date: July 11, 2014
Posted on: 7/11/2014
14-29 FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Comment Period Expires: September 2, 2014
Posted on: 7/2/2014
Election Notices
7/9/2014 Notice of Annual Meeting of FINRA Firms and Proxy
Posted on: 7/9/2014
Trade Reporting Notice
7/11/2014 Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Posted on: 7/11/2014
Information Notices
7/10/2014 Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
Posted on: 7/10/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 7/15/2014
 

June 2014

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Regulatory Notices
14-28 SEC Approves FINRA Rule Concerning Self-Trades
Effective Date: August 25, 2014
Posted on: 6/30/2014
14-27 SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
Posted on: 6/30/2014
14-26 New Payments for Market Making Certification Requirement for FINRA Form 211
Effective Date: July 7, 2014
Posted on: 6/27/2014
14-25 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Posted on: 6/23/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 6/16/2014
 

May 2014

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Regulatory Notices
14-24 April 2014 Supplement to the Security Futures Risk Disclosure Statement
Implementation Date: June 23, 2014
Posted on: 5/23/2014
14-23 FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Effective Date: June 16, 2014
Posted on: 5/16/2014
14-22 SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Effective Date: May 15, 2014
Posted on: 5/15/2014
14-21 SEC Approves Amendments to Equity Trade Reporting and OATS Rules
The effective date for ADF and TRFs (millisecond reporting) has been extended to November 10, 2014. Original effective date: September 29, 2014.

The effective date for ORF has been extended to November 17, 2014. Original effective date: September 15, 2014.
Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015
Posted on: 5/15/2014
14-20 FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Implementation Date: October 1, 2014
Posted on: 5/7/2014
Election Notices
5/6/2014 Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 20, 2014
Posted on: 5/6/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 5/15/2014
 

April 2014

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Regulatory Notices
14-19 FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Comment Period Expires: June 16, 2014
Posted on: 4/30/2014
14-18 FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Implementation Date: June 16, 2014
Posted on: 4/30/2014
14-17 2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Posted on: 4/21/2014
14-16 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 4/11/2014
14-15 FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
The comment period has been extended to May 23, 2014.
Comment Period Expires: May 8, 2014
Posted on: 4/8/2014
14-14 FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
The comment period has been extended to May 23, 2014.
Comment Period Expires: May 8, 2014
Posted on: 4/8/2014
Information Notices
4/11/2014 Continuing Education Planning
Posted on: 4/11/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 4/15/2014
 

March 2014

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Regulatory Notices
14-13 Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Effective Date: April 2, 2014
Posted on: 3/25/2014
14-12 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Posted on: 3/24/2014
14-11 SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
Implementation Date: April 7, 2014
Posted on: 3/19/2014
14-10 SEC Approves New Supervision Rules
4/3/14: The effective date for the deletion of Incorporated NYSE Rules 343 (Offices – Sole Tenancy, and Hours), 343.10 and NYSE Rule Interpretation 343(a)/01 has been changed to April 7, 2014, to correspond to the effective date of the revised Form BR (See Regulatory Notice 14-11).
Effective Date: December 1, 2014
Posted on: 3/19/2014
Information Notices
3/3/2014 New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: March 18, 2014
Posted on: 3/3/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 3/17/2014
 

February 2014

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Regulatory Notices
14-09 FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
Comment Period Expires: April 28, 2014
Posted on: 2/26/2014
14-08 SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes
Effective Date: June 23, 2014
Posted on: 2/20/2014
14-07 SEC Approves New Requirements for Alternative Trading Systems
On October 2, 2014, FINRA filed a rule change to postpone the implementation date for the MPID requirement to February 2, 2015. On April 3, 2014, FINRA filed a rule change to amend FINRA Rule 4552 to exclude transactions in TRACE-eligible securities from the ATS weekly reporting requirements outlined in Rule 4552 and to amend the MPID requirement.
Implementation Dates: May 12, 2014 (ATS Reporting Requirement); November 10, 2014 (MPID Requirement)
Posted on: 2/14/2014
14-06 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Posted on: 2/7/2014
14-05 SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Effective Date: May 1, 2014
Deadline for Notification to FINRA of Existing Programs under Rule 4330.06: May 30, 2014
Effective Date for FINRA Rule 4330(b)(2)(B): October 28, 2014
Posted on: 2/3/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 2/18/2014
 

January 2014

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Regulatory Notices
14-04 SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
Effective Date: February 3, 2014
Posted on: 1/31/2014
14-03 Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
Effective Date: January 1, 2014
Posted on: 1/30/2014
14-02 FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
The comment period has been extended to March 28, 2014.
Comment Period Expires: February 26, 2014
Posted on: 1/27/2014
14-01 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 10, 2014
Posted on: 1/2/2014
Information Notices
1/8/2014 2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
Posted on: 1/8/2014
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 1/15/2014