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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
Regulatory Notice 13-26
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Regulatory Notice 13-27
SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Effective Date: December 16, 2013
Regulatory Notice 13-28
FINRA Revises the Series 16 Examination Program
Implementation Date: October 28, 2013
Election Notice - 9/4/13
FINRA Small Firm Advisory Board Election
Election Notice - 9/4/13
Upcoming Election to Fill FINRA District Committee Vacancies
Information Notice - 9/20/13
New S901 Regulatory Element Continuing Education Program
Regulatory Notice 13-29
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: November 4, 2013
Regulatory Notice 13-29
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: November 4, 2013
Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Effective Date: September 30, 2013
Regulatory Notice 13-31
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Regulatory Notice 13-32
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA's Minor Rule Violation Plan
Effective Date: September 26, 2013
Election Notice 10/16/13
Notice of SFAB Election and Ballots
Election Notice 10/16/13
Notice of FINRA District Committee Elections and Ballots
Regulatory Notice 13-33
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 10/18/13
Continuing Education Planning
Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expires: February 3, 2014
Information Notice - 10/25/13
Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Effective Date: October 26, 2013
Regulatory Notice 13-35
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
Effective Date: June 30, 2014
Regulatory Notice 13-36
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Implementation Date: December 16, 2013
Regulatory Notice 13-38
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 1, 2014
Regulatory Notice 13-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
Payment Deadline: December 13, 2013
Regulatory Notice 13-39
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Effective Date: November 7, 2013
Information Notice - 11/12/13
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Regulatory Notice 13-40
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Effective Date: December 2, 2013
Election Notice - 11/25/13
Small Firm Advisory Board Runoff Election
Information Notice - 11/26/13
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Election Notice - 12/17/13
FINRA Announces Results of SFAB, NAC and District Committee Elections
Regulatory Notice 13-41
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, 2014, Reporting Period
Regulatory Notice 13-43
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
Effective Date: February 3, 2014
Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 13-42
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Comment Period Expires: March 21, 2014

See 3/4/14 FINRA update to this Notice. The comment period has been extended to March 21, 2014.

Information Notice - 12/23/13
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Regulatory Notice 13-45
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
Regulatory Notice 14-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 10, 2014
Information Notice - 1/8/14
2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
Regulatory Notice 14-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Comment Period Expires: February 26, 2014

The comment period has been extended to March 28, 2014.

Regulatory Notice 14-03
Proxy Rate Reimbursement and Enhanced Brokers' Internet Platforms Amendments to FINRA Rule 2251
Effective Date: January 1, 2014
Regulatory Notice 14-04
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
Effective Date: February 3, 2014
Regulatory Notice 14-05
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection — Permissible Use of Customers' Securities) and 4340 (Callable Securities)
Effective Date: May 1, 2014 *
Regulatory Notice 14-06
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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