2015 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 2015

Regulatory Notices
15-02 SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities New
Effective Date: April 11, 2016
Posted on: 1/5/2015
15-01 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches New
Payment Deadline: January 16, 2015
Posted on: 1/2/2015
Information Notices
1/20/2015 New Rate for Fees Paid Under Section 31 of the Exchange Act New
Effective Date: February 14, 2015
Posted on: 1/20/2015
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 1/15/2015