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
 

April 2014

Regulatory Notices
14-17 2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board New
Posted on: 4/21/2014
14-16 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update New
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
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