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
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
Jan 3, 2017 Regulatory Notice 17-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 20, 2017
Dec 20, 2016 Election Notice – 12/20/16
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Dec 14, 2016 Information Notice – 12/14/16
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 5, 2016 Information Notice – 12/5/16
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Dec 5, 2016 Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Dec 1, 2016 Regulatory Notice 16-44
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
Effective Date: January 3, 2017
Nov 22, 2016 Information Notice – 11/22/16
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 16, 2016 Regulatory Notice 16-43
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Effective date: February 27, 2017
Nov 1, 2016 Regulatory Notice 16-42
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
Payment Deadline: December 16, 2016
Oct 26, 2016 Regulatory Notice 16-41
SEC Approves Amendments to Rules Governing Communications With the Public
Effective Date: January 9, 2017
Oct 24, 2016 Regulatory Notice 16-40
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
Effective Date: August 20, 2017
Oct 19, 2016 Regulatory Notice 16-39
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Reporting Implementation Date: July 10, 2017
Oct 19, 2016 Election Notice – 10/19/16
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 18, 2016
Oct 17, 2016 Regulatory Notice 16-38
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Effective Date: March 20, 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)
Oct 7, 2016 Trade Reporting Notice – 10/7/16
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility

FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016.

Sep 26, 2016 Regulatory Notice 16-36
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
Sep 22, 2016 Regulatory Notice 16-35
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Sep 7, 2016 Election Notice – 9/7/16
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
Sep 7, 2016 Election Notice – 9/7/16
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
Aug 31, 2016 Regulatory Notice 16-34
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Comment Period Expires: November 29, 2016
Aug 26, 2016 Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016

Pages