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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| Election Notice - 12/6/12 | FINRA Announces Results of SFAB, NAC and District Committee Elections
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| Regulatory Notice 12-53 | FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
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| Regulatory Notice 12-52 | SEC Approves Consolidated Front Running Rule
Effective Date: June 1, 2013
Update: 5/3/13: The effective date for compliance with FINRA Rule 5270 has been extended to September 3, 2013. Original Effective Date: June 1, 2013 |
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| Information Notice - 12/3/12 | 2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
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| Information Notice - 11/26/12 | Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
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| Information Notice - 11/20/12 | FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
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| Regulatory Notice 12-51 | FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 From November 5, 2012, to November 12, 2012
Revised Effective Date: November 12, 2012
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| Regulatory Notice 12-50 | SEC Approves Amendments Relating to Stop Orders
Effective Date: January 21, 2013
Update 1/9/13: The effective date for compliance with Rule 5350 has been extended to March 4, 2013. Original Effective Date: January 21, 2013 |
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| Regulatory Notice 12-49 | SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
Effective Dates: April 5, 2012, and October 11, 2012
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| Regulatory Notice 12-48 | for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
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| Regulatory Notice 12-47 | FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 1, 2013
The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38. |
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| Regulatory Notice 12-46 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
Payment Deadline: December 13, 2012
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| Regulatory Notice 12-45 | Guidance to Members Affected by Hurricane Sandy
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| Regulatory Notice 12-44 | SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Effective Dates: October 26, 2012, and January 23, 2013
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| Regulatory Notice 12-43 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 10/19/12 | Continuing Education Planning
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| Election Notice - 10/17/12 | Notice of FINRA Small Firm Advisory Board Election and Ballots
Ballot Due: November 16, 2012
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| Election Notice - 10/17/12 | Notice of FINRA District Committee Election and Ballots
This Notice was updated on October 18, 2012, to update the Large Firm candidates for Districts 7 and 11, and on November 5, 2012, to update the Large Firm candidates for District 3. |
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| Election Notice - 10/17/12 | Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 16, 2012
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| Regulatory Notice 12-42 | FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: December 20, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012. |
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| Regulatory Notice 12-41 | FINRA Amends the TAF Rate for Transactions in Covered Security Futures
Effective Date: October 1, 2012
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| Regulatory Notice 12-40 | SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Effective Date: December 3, 2012
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| Regulatory Notice 12-39 | FINRA Requests Comment on TRACE Dissemination Issues
Comment Period Expires: November 19, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.) |
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| Election Notice - 9/5/12 | Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 5, 2012
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| Election Notice - 9/5/12 | FINRA Small Firm Advisory Board Election
Nomination Deadline: October 5, 2012
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| Information Notice - 8/28/12 | Guidance for Firms Potentially Affected by Hurricane Isaac
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| Regulatory Notice 12-38 | SEC Approves Amendments to FINRA's Short-Interest Reporting Rule
Effective Date: November 30, 2012
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| Information Notice 8/17/12 | Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012
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| Regulatory Notice 12-37 | SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
Effective Date: November 5, 2012
The implementation date has been delayed until November 12, 2012. |
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| Election Notice - 8/3/12 | FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
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| Information Notice - 8/1/12 | New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective Date: September 1, 2012
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| Regulatory Notice 12-36 | FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
Effective Dates: November 30, 2012, and May 1, 2013
The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38. |
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| Election Notice - 7/9/12 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 12-35 | Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA's Mediator Roster
Effective Date: August 6, 2012
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| Regulatory Notice 12-34 | FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expires: August 31, 2012
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| Regulatory Notice 12-33 | FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
Implementation Date: July 23, 2012
The July 23, 2012, implementation date for required use of the new electronic Form CMA has been revised by SR-FINRA-2012-036 to August 27, 2012. However, firms may begin using the electronic Form CMA on July 23, 2012. The implementation date for the amended electronic Form NMA remains July 23, 2012. |
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| Regulatory Notice 12-32 | Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business. |
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| Regulatory Notice 12-31 | SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2012
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| Regulatory Notice 12-30 | SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
Effective Date: July 23, 2012
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| Regulatory Notice 12-29 | SEC Approves New Rules Governing Communications With the Public
Effective Date: February 4, 2013
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