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
Aug 24, 2016 Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Effective Date: September 12, 2016
Aug 19, 2016 Regulatory Notice 16-32
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Effective Date: January 10, 2017
Aug 19, 2016 Election Notice – 8/19/16
Notice of Annual Meeting of FINRA Firms and Proxy
Aug 12, 2016 Regulatory Notice 16-31
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Effective Date of Risk Limit Determination Requirements: December 15, 2016; Effective Date of All Other Requirements: December 15, 2017
Aug 12, 2016 Election Notice – 8/12/16
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2016
Aug 10, 2016 Regulatory Notice 16-30
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
Aug 8, 2016 Regulatory Notice 16-29
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Comment Period Expires: September 23, 2016
Aug 8, 2016 Regulatory Notice 16-28
SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
Implementation Date: November 7, 2016
Aug 4, 2016 Regulatory Notice 16-27
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
Effective Date: August 11, 2016
Jul 29, 2016 Regulatory Notice 16-26
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Effective date: August 22, 2016
Jul 22, 2016 Regulatory Notice 16-25
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Jul 14, 2016 Regulatory Notice 16-24
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
Effective Date: December 30, 2016
Jul 7, 2016 Regulatory Notice 16-23
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
Effective Date: August 15, 2016; Phase 1 Implementation Date (systems that capture in milliseconds): February 20, 2017; Phase 2 Implementation Date (systems that do not capture in milliseconds): February 19, 2018
Jun 30, 2016 Regulatory Notice 16-22
SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Effective Date: April 3, 2017
Jun 21, 2016 Election Notice – 6/21/16
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: August 5, 2016
Jun 6, 2016 Regulatory Notice 16-21
SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Effective Date: January 30, 2017
May 27, 2016 Regulatory Notice 16-20
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Effective Date: August 1, 2016
May 26, 2016 Regulatory Notice 16-19
FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
May 16, 2016 Regulatory Notice 16-18
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Effective Date: November 11, 2016
May 16, 2016 Information Notice – 5/16/16
Elimination of Continuing Education Delivery at Testing Centers
Effective: July 1, 2016
May 5, 2016 Regulatory Notice 16-17
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
May 5, 2016 Regulatory Notice 16-16
2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Apr 27, 2016 Regulatory Notice 16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: July 18, 2016
Apr 22, 2016 Regulatory Notice 16-14
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Implementation Date: October 3, 2016
Apr 20, 2016 Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities

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