Regulatory Notice 14-54

FINRA Reminds Firms of Extended Hours Trading Disclosures

Executive Summary

FINRA reminds firms of their obligations under FINRA Rule 2265 to disclose to a customer the material risks of extended hours trading. This disclosure should include the risks described in the Model Extended Hours Trading Risk Disclosure Statement in FINRA Rule 2265 as well as any additional disclosures as necessary to address product-specific or other specific needs.

Questions concerning this Notice should be directed to Kathryn Moore, Associate General Counsel, Office of General Counsel, at (202) 728-8200.