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 21-45 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 22-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Regulatory Notice 22-02 | FINRA Amends Rule 2251 Regarding Reimbursement Rates for Processing and Forwarding Proxy and Other Issuer-Related Materials
Effective Date: Immediate
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| Regulatory Notice 22-03 | FINRA Adopts Amendments to Clarify the Application of FINRA Rules to Security-Based Swaps
Effective Dates: February 6, 2022 (Rules 0180, 4120 and 9610) and April 6, 2022 (Rules 4210, 4220 and 4240)
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| Regulatory Notice 22-04 | FINRA Reminds Member Firms of Obligation to Execute Marketable Customer Orders Fully and Promptly
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| Information Notice 2/1/22 | FINRA Announces Rule 4111 (Restricted Firm Obligations) Evaluation Date
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| Regulatory Notice 22-05 | FINRA Adopts Amendments to FINRA Rule 2165
Effective Date: March 17, 2022
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| Regulatory Notice 22-06 | U.S. Imposes Sanctions on Russian Entities and Individuals
FINRA Alerts Firms to Sanctions
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| Regulatory Notice 22-07 | GASB Accounting Support Fee
2022 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 22-08 | FINRA Reminds Members of Their Sales Practice Obligations for Complex Products and Options and Solicits Comment on Effective Practices and Rule Enhancements
Comment Period: May 9, 2022
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| Regulatory Notice 22-09 | FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties
Comment Period Expires: May 16, 2022
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| Regulatory Notice 22-10 | FINRA Reminds Member Firms of the Scope of FINRA Rule 3110 as it Pertains to the Potential Liability of Chief Compliance Officers for Failure to Discharge Designated Supervisory Responsibilities
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| Special Notice – 3/31/22 | FINRA Encourages Engagement in Advisory Committees
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| Information Notice 4/19/22 | FINRA Membership Application Program Transformation
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| Regulatory Notice 22-11 | FINRA Reminds Firms of Their Sales Practice Obligations for Alternative Mutual Funds
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| Information Notice - 4/21/22 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 14, 2022
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| Special Notice – 4/22/22 | 2022 Election Process Overview
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| Information Notice – 05/06/22 | March 2022 Options Disclosure Document
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| Election Notice – 05/16/22 | Nominee for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Thursday, June 30, 2022
Due to a change in firm affiliations, the Large Firm Governor nominee listed in this Election Notice no longer qualifies for re-election. A special election for the Large Firm Governor seat will take place in the near future. The Small Firm Governor Election is not impacted and will proceed as announced in this Notice. |
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| Regulatory Notice 22-12 | FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification of Portfolio Trades
Effective Date: May 15, 2023
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| Election Notice - 06/09/22 | FINRA Board Large Firm Governor Election
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| Regulatory Notice 22-13 | Exemption From Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: October 3, 2022
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| Regulatory Notice 22-14 | FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions
Comment Period Expires: September 20, 2022
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| Regulatory Notice 22-15 | FINRA Amends the Code of Arbitration Procedure for Industry Disputes to Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Effective Date: Immediate
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| Election Notice – 7/20/22 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Regulatory Notice 22-16 | FINRA Amends Its Rules Regarding Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
Effective Date: August 22, 2022
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| Regulatory Notice 22-17 | FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute
Comment Period Expires: October 3, 2022
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| Regulatory Notice 22-18 | FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification
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| Regulatory Notice 22-19 | Enhancement to ACATS “Receiver Delete” Functionality for Alternative Investments
FINRA Reminds Members of Their Obligations Under FINRA Rule 11870
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| Election Notice - 8/09/22 | Special Election to Fill a FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: September 23, 2022
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| Election Notice – 8/22/2022 | FINRA Announces Nomination Process to Fill Upcoming Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: October 6, 2022
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| Election Notice – 9/6/22 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 6, 2022
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| Election Notice – 9/6/2022 | Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 6, 2022
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| Regulatory Notice 22-20 | The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Date: Effective Immediately
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| Regulatory Notice 22-21 | FINRA Alerts Firms to Recent Trend in Fraudulent Transfers of Accounts Through ACATS
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| Election Notice – 10/11/2022 | Notice of Special Meeting of Large Firms and Proxy
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| Regulatory Notice 22-22 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2023
Payment Deadline: Dec. 12, 2022
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| Special Notice – 10/21/22 | FINRA Requests Comment on Its Machine-Readable Rulebook Initiative
Comment Period Expires: December 20, 2022*
FINRA has extended the comment period to February 21, 2023. |
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| Election Notice - 10/24/2022 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 23, 2022
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| Election Notice - 10/24/2022 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 23, 2022
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