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 15-16 | FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
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| Regulatory Notice 15-15 | The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
Effective Immediately
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| Regulatory Notice 15-14 | SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
Effective Date: November 2, 2015
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| Regulatory Notice 15-13 | FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Comment Period Expires: June 19, 2015
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| Regulatory Notice 15-12 | 2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Election Notice - 4/27/15 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 11, 2015
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| Regulatory Notice 15-11 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 4/10/15 | Continuing Education Planning
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| Information Notice - 3/31/15 | FINRA Survey to Create the Securities Trader Qualification Examination
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| Regulatory Notice 15-10 | FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Comment Period Expires: May 14, 2015
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| Regulatory Notice 15-09 | Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
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| Regulatory Notice 15-08 | Changes to Qualification Examination Fees
This Notice was updated on 3/26/15 to clarify the fees charged for examinations sponsored by the MSRB and administered and delivered by FINRA. |
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| Regulatory Notice 15-07 | SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation,*
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| Regulatory Notice 15-06 | FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Comment Period Expires: May 18, 2015
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| Information Notice - 3/18/15 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Regulatory Notice 15-05 | SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Effective Date of FINRA Rule 3110(e): July 1, 2015; Effective Date of FINRA Rule 3110.15: April 24, 2014, to December 1, 2015
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| Regulatory Notice 15-04 | FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
Comment Period Expires: April 10, 2015
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| Regulatory Notice 15-03 | FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
Comment Period Expires: April 7, 2015
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| Information Notice - 1/20/15 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 14, 2015
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| Regulatory Notice 15-02 | SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
Effective Date: April 11, 2016
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| Regulatory Notice 15-01 | Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 16, 2015
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| Information Notice - 12/30/14 | 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)
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| Information Notice – 12/23/14 | 2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Regulatory Notice 14-54 | FINRA Reminds Firms of Extended Hours Trading Disclosures
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| Election Notice - 12/5/14 | FINRA Announces Results of SFAB, NAC and District Committee Elections
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| Information Notice - 11/25/14 | FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
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| Regulatory Notice 14-53 | FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
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| Regulatory Notice 14-52 | FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions
Comment Period Expires: January 20, 2015
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| Regulatory Notice 14-51 | Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
Comment Period Expires: January 13, 2015
The comment period has been extended to February 20, 2015. |
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| Regulatory Notice 14-50 | FINRA Requests Comment on a Proposal to Establish a "Pay-to-Play" Rule
Comment Period Expires: December 15, 2014
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| Regulatory Notice 14-49 | SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
Effective Date: December 15, 2014
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| Regulatory Notice 14-48 | FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Comment Period Expires: Friday, January 9, 2015*
The comment period has been extended to February 20, 2015. |
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| Regulatory Notice 14-47 | FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Comment Period Expires: Friday, January 9, 2015*
The comment period has been extended to February 20, 2015. |
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| Regulatory Notice 14-46 | FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as "Out of Sequence" and Not Last Sale Eligible
Comment Period Expires: Friday, January 9, 2015*
The comment period has been extended to February 20, 2015. |
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| Regulatory Notice 14-45 | SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Effective Date: September 26, 2014
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| Regulatory Notice 14-44 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Payment Deadline: December 12, 2014
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| Regulatory Notice 14-42 | SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
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| Election Notice - 10/15/14 | Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
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| Election Notice - 10/15/14 | Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 14, 2014
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| Election Notice - 10/15/14 | Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 14, 2014
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