Advertising Regulation Notices

Date of Pubsort ascending Title Description
Oct 5, 2017 Regulatory Notice 17-31
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
Implementation Date: October 5, 2017
Apr 25, 2017 Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Apr 12, 2017 Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Apr 12, 2017 Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Feb 10, 2017 Regulatory Notice 17-06
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Comment Period Expires: March 27, 2017
Oct 26, 2016 Regulatory Notice 16-41
SEC Approves Amendments to Rules Governing Communications With the Public
Effective Date: January 9, 2017
Oct 17, 2016 Regulatory Notice 16-37
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
Effective Dates: January 3, 2017 (CAB Member Application and Associated Person Registration Rules) and April 14, 2017 (All Other CAB Rules)
Jan 29, 2016 Regulatory Notice 16-07
SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other Than Registration Requirements): May 16, 2016
Jan 8, 2016 Information Notice – 1/8/16
Use of FINRA Logo
Dec 7, 2015 Regulatory Notice 15-50
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Effective Date: June 6, 2016
Sep 8, 2015 Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Aug 26, 2015 Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Effective Date: September 25, 2015, or December 24, 2015
Aug 26, 2015 Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Effective Date: February 22, 2016

On April 20, 2016, FINRA extended the implementation date from April 22, 2016, to July 16, 2016.

May 22, 2015 Regulatory Notice 15-17
Guidance on Rules Governing Communications With the Public
May 18, 2015 Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
Jan 5, 2015 Regulatory Notice 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
Effective Date: April 11, 2016
Sep 16, 2014 Regulatory Notice 14-35
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
Jul 11, 2014 Regulatory Notice 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
May 23, 2014 Regulatory Notice 14-24
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Implementation Date: June 23, 2014
Apr 30, 2014 Regulatory Notice 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
Apr 8, 2014 Regulatory Notice 14-14
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014.
Mar 19, 2014 Regulatory Notice 14-10
SEC Approves New Supervision Rules
Effective Date: December 1, 2014
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).
Mar 19, 2014 Regulatory Notice 14-11
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
Implementation Date: April 7, 2014
Oct 23, 2013 Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expired: February 3, 2014
Jul 18, 2013 Regulatory Notice 13-23
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts

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