FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pub Title Description
Oct 4, 2017 Regulatory Notice 17-29
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Effective Date: October 9, 2017
Sep 29, 2017 Regulatory Notice 17-28
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: June 25, 2018
Sep 8, 2017 Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
Sep 8, 2017 Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
Aug 30, 2017 Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey

FINRA is extending the regulatory relief included in this Notice to firms affected by Hurricanes Irma and Maria.

Aug 24, 2017 Regulatory Notice 17-26
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Effective Date: October 23, 2017
Aug 21, 2017 Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 5, 2017
Aug 18, 2017 Regulatory Notice 17-25
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Effective Date: September 18, 2017
Jul 21, 2017 Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 12, 2017 Regulatory Notice 17-24
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
Jul 11, 2017 Regulatory Notice 17-23
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Effective Date: October 2, 2017
Jun 12, 2017 Trade Reporting Notice – 6/12/17
Effective Date for Required Use of TRACE for Treasuries Modifiers
Jun 9, 2017 Information Notice – 6/9/17
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: July 4, 2017
Jun 7, 2017 Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Effective Date: December 15, 2016
May 31, 2017 Regulatory Notice 17-21
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date for changes relating to DOL Fiduciary Rule: June 9, 2017; Implementation Date for changes relating to MSRB Rules: October 1, 2017
May 23, 2017 Election Notice - 5/23/17
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 7, 2017
May 15, 2017 Regulatory Notice 17-20
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Comment Period Expires: June 29, 2017
May 11, 2017 Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Effective Date: September 5, 2017
May 2, 2017 Election Notice – 5/2/17
Notice of Special Meeting of Large Firms and Proxy
Apr 25, 2017 Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Apr 21, 2017 Regulatory Notice 17-17
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Apr 12, 2017 Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Apr 12, 2017 Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017. In addition, Attachments A and B related to this Notice were updated on 5/24/17 to make a technical correction to subsection (g) of the rule text.

Apr 12, 2017 Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Apr 10, 2017 Regulatory Notice 17-13
FINRA’s NAC Revises the Sanction Guidelines
Effective Immediately