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
Apr 21, 2017 Regulatory Notice 17-17
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Apr 20, 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

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 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
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)

The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524.  These due dates take into account the federal holiday calendar as appropriate.

Dec 5, 2016 Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks

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