Notices

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 Titlesort descending Description
Mar 31, 2015 Information Notice - 3/31/15
FINRA Survey to Create the Securities Trader Qualification Examination
Mar 8, 2012 Information Notice - 3/8/12
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 1, 2012
Apr 1, 2008 Information Notice - 4/1/08
FINRA Implements Changes to OTC Reporting Facility and OTC Bulletin Board Invoice Processes
Effective Date: April 1, 2008
Apr 10, 2015 Information Notice - 4/10/15
Continuing Education Planning
Apr 11, 2014 Information Notice - 4/11/14
Continuing Education Planning
Apr 13, 2012 Information Notice - 4/13/12
Continuing Education Planning
Apr 12, 2013 Information Notice - 4/13/13
Continuing Education Planning
Apr 15, 2011 Information Notice - 4/15/11
Continuing Education Planning
Apr 2, 2012 Information Notice - 4/2/12
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
Apr 20, 2010 Information Notice - 4/20/10
Change for Scheduling Exam and CE Sessions
This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10.
Apr 20, 2011 Information Notice - 4/20/11
March 2011 Supplement to the Options Disclosure Document
May 1, 2013 Information Notice - 5/1/13
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 25, 2013
May 15, 2008 Information Notice - 5/15/08
April 2008 Supplement to the Options Disclosure Document
May 20, 2009 Information Notice - 5/20/09
Continuing Education Planning
May 26, 2010 Information Notice - 5/26/10
DTCC to Provide FINRA Access to Participant Position Reports
Jun 28, 2011 Information Notice - 6/28/11
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
The contact for this Notice was updated on 10/25/11.
Jun 5, 2013 Information Notice - 6/5/13
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
Jun 6, 2011 Information Notice - 6/6/11
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
Jun 9, 2008 Information Notice - 6/9/08
Continuing Education Planning
Jul 1, 2009 Information Notice - 7/1/09
New FTC Red Flags Rule Template
Note: FTC's Red Flags Rule Enforcement began Jan 1, 2011. On July 21, 2011, the Dodd-Frank Act transferred responsibility for identity theft red flag rules and guidelines to the SEC and CFTC for the entities they regulate. On February 28, 2012, the SEC and CFTC jointly proposed for comment red flag rules and guidelines that are substantially similar to the FTC’s and do not propose new requirements or cover new entities. The comment period closed May 7, 2012.
Aug 1, 2012 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
Aug 26, 2008 Information Notice - 8/26/08
June 2008 Supplement to the Options Disclosure Document
Aug 28, 2012 Information Notice - 8/28/12
Guidance for Firms Potentially Affected by Hurricane Isaac
Aug 3, 2010 Information Notice - 8/3/10
FINRA Reminds Firms of Upcoming Changes to BrokerCheck
Sep 15, 2008 Information Notice - 9/15/08
Loose-Leaf FINRA Manual Subscription

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