Notices

FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pub Title Description
May 23, 2017 Election Notice - 5/23/17
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 7, 2017
May 15, 2017 Regulatory Notice 17-20
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Comment Period Expires: June 29, 2017
May 11, 2017 Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Effective Date: September 5, 2017
May 2, 2017 Election Notice – 5/2/17
Notice of Special Meeting of Large Firms and Proxy
Apr 25, 2017 Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Apr 21, 2017 Regulatory Notice 17-17
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
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
Apr 12, 2017 Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Comment Period Expires: May 30, 2017
Apr 12, 2017 Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017
Apr 10, 2017 Regulatory Notice 17-13
FINRA’s NAC Revises the Sanction Guidelines
Effective Immediately
Apr 7, 2017 Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Apr 3, 2017 Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Mar 30, 2017 Regulatory Notice 17-11
SEC Approves Rules Relating to Financial Exploitation of Seniors
Mar 24, 2017 Regulatory Notice 17-10
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Mar 21, 2017 Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Mar 9, 2017 Regulatory Notice 17-09
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Effective Date: March 15, 2017
Mar 9, 2017 Election Notice – 3/9/17
Special Election to Fill FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, April 24, 2017
Feb 15, 2017 Regulatory Notice 17-08
SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
Effective Date: May 14, 2018
Feb 10, 2017 Regulatory Notice 17-07
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
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
Feb 1, 2017 Regulatory Notice 17-05
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
Effective Date: February 6, 2017
Jan 24, 2017 Election Notice – 1/24/17
2017 Annual FINRA Election Cycle and Procedures Overview
Jan 3, 2017 Regulatory Notice 17-04
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
Effective Date: January 9, 2017
Jan 3, 2017 Regulatory Notice 17-03
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
Effective Date: April 3, 2017
Jan 3, 2017 Regulatory Notice 17-02
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
Effective Date: January 23, 2017

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