Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Regulatory Notice 25-14 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2026
Payment Deadline: Dec. 8, 2025
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| Information Notice - 10/21/25 | FINRA Reminds Firms That NSCC Has Modified the ACATS Transfer Process
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| Election Notice – 10/20/25 | Notice of SFAC Election and Mailing of Ballots
Voting Deadline: November 19, 2025
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| Election Notice – 10/20/25 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Voting Deadline: November 19, 2025
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| Regulatory Notice 25-13 | FINRA Enhances Its Systems to Facilitate Member Compliance With Form U4 Recordkeeping Requirements
Effective Date: October 10, 2025
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| Regulatory Notice 25-12 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 25-11 | FINRA Reminds Members and Associated Persons, Wherever Located, of Their Obligation to Comply With Rule 8210
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| Regulatory Notice 25-10 | FINRA Adopts Amendments to Require Use of a Portal in Proceedings Before the Office of Hearing Officers
Effective Date: October 7, 2025
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| Election Notice – 9/4/25 | Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 6, 2025
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| Election Notice – 9/4/25 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 6, 2025
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| Regulatory Notice 25-09 | FINRA Enhances Its Systems to Enable Members to Provide Associated Persons With Uniform Registration Form and Predispute Arbitration Information Through FinPro Gateway
Effective Date: November 3, 2025
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| Information Notice - 8/14/25 | FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
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| Regulatory Notice 25-08 | FINRA Adopts Exemption From FINRA Rules 5130 and 5131 for Business Development Companies
Effective Date: July 23, 2025
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| Election Notice - 7/18/2025 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Information Notice - 6/26/25 | Completion of Prospective CAT Cost Recovery Fee 2025-1
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| Special Notice – 5/15/25 | 2025 Involvement and Election Process Overview
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| Election Notice - 5/15/2025 | FINRA Board of Governors Upcoming Election: Nominee Announcement and Petition Period Start Date
Petition Deadline: June 30, 2025
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| Information Notice - 4/24/25 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 14, 2025
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| Regulatory Notice 25-07 | FINRA Requests Comment on Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces
Original Comment Period Expires: June 13, 2025
In response to feedback, FINRA has extended the comment period to July 14, 2025. |
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| Regulatory Notice 25-06 | FINRA Requests Comment on Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
Original Comment Period Expires: May 19, 2025
In response to feedback, FINRA has extended the comment period to June 18, 2025. |
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| Regulatory Notice 25-05 | FINRA Requests Comment on a Proposal to Reduce Unnecessary Burdens and Simplify Requirements Regarding Associated Persons’ Outside Activities
Comment Period Expires: May 13, 2025
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| Regulatory Notice 25-04 | FINRA Launches Broad Review to Modernize Rules Regarding Member Firms and Associated Persons
Original Comment Period Expires: May 12, 2025
In response to feedback, FINRA has extended the comment period to June 11, 2025. |
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| Regulatory Notice 25-03 | 2025 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 25-02 | Guidance to Members Affected by California Wildfires
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| Election Notice - 1/10/2025 | Notice of Election and Ballots for FINRA Large Firm and Small Firm NAC Member Seats
Voting Ends: February 10, 2025
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| Information Notice - 1/3/25 | Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
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| Regulatory Notice 25-01 | Broker-Dealer and Investment Adviser Renewals for 2025
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Regulatory Notice 24-18 | Unexpected Close of Securities Markets
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| Election Notice - 12/30/2024 | FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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| Information Notice - 12/24/24 | Completion of Prospective CAT Cost Recovery Fee 2024-1
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| Information Notice 12/24/24 | Completion of Historical CAT Cost Recovery Assessment 1
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| Regulatory Notice 24-17 | FINRA Requests Comment on Proposed Changes to Corporate Financing Rules
Comment Period Expires: March 20, 2025
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| Regulatory Notice 24-16 | Amendments Relating to the Applicability of the Document Production Lists to Simplified Customer Arbitrations Administered Under Rule 12800
Effective Date: March 3, 2025
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| ORF Technical Notice | FINRA Updates the OTC Equities High Price Dissemination List
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| Information Notice 12/2/24 | 2025 Extensions of Time Filing Schedule
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| Regulatory Notice 24-15 | FINRA Adopts Amendments to the Codes of Arbitration Procedure to Provide Customers With a Copy of the Official Record of an Expungement Hearing
Effective Date: December 1, 2024
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| Information Notice 11/21/24 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Election Notice - 11/7/2024 | FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: December 23, 2024
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| Information Notice 11/5/24 | 2025 and First Quarter of 2026 Report Filing Due Dates
Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); Supplemental Inventory Schedule (SIS); and Supplemental Liquidity Schedule (SLS)
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| Regulatory Notice 24-14 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2025
Payment Deadline: December 9, 2024
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