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 |
Title |
Description |
|---|---|---|
| Oct 19, 2016 | Election Notice – 10/19/16 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 18, 2016
|
| Jan 18, 2008 | Election Notice - 1/18/08 |
Upcoming District Committee and District Nominating Committee Elections
This Notice was updated to correct the listings for the District Nominating Committees for Districts 3, 4 and 10. |
| Jan 2, 2009 | Election Notice - 1/2/09 |
Upcoming District Committee and District Nominating Committee Elections
This Notice was updated to note that the District 10 Nominating Committee Chair is Vacant. |
| Oct 10, 2008 | Election Notice - 10/10/08 |
Election Notice - 10/10/08
|
| Oct 15, 2014 | Election Notice - 10/15/14 |
Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
|
| Oct 15, 2014 | Election Notice - 10/15/14 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 14, 2014
|
| Oct 15, 2014 | Election Notice - 10/15/14 |
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 14, 2014
|
| Oct 17, 2012 | Election Notice - 10/17/12 |
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 16, 2012
|
| Oct 17, 2012 | Election Notice - 10/17/12 |
Notice of FINRA Small Firm Advisory Board Election and Ballots
Ballot Due: November 16, 2012
|
| Oct 17, 2012 | 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. |
| Oct 19, 2011 | Election Notice - 10/19/11 |
Notice of FINRA District Committee Election and Ballots
|
| Oct 19, 2011 | Election Notice - 10/19/11 |
Notice of FINRA Small Firm Advisory Board Election and Ballots
|
| Oct 19, 2011 | Election Notice - 10/19/11 |
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
|
| Oct 21, 2010 | Election Notice - 10/21/10 |
Notice of SFAB Election and Ballots
|
| Oct 23, 2009 | Election Notice - 10/23/09 |
Notice of SFAB Election and Ballots
|
| Oct 24, 2008 | Election Notice - 10/24/08 |
FINRA Notice of Special Meeting of Small Firms and Proxy
|
| Oct 25, 2011 | Election Notice - 10/25/11 |
Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
The special meeting of large firms will take place on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA's Washington, DC, office at 1735 K Street, NW. Please see Election Notice 12/14/11 for details. |
| Nov 1, 2007 | Election Notice - 11/1/07 |
FINRA Small Firm Advisory Board Election
|
| Nov 21, 2008 | Election Notice - 11/21/08 |
Notice of SFAB Election and Ballots
|
| Nov 25, 2013 | Election Notice - 11/25/13 |
Small Firm Advisory Board Runoff Election
|
| Nov 29, 2011 | Election Notice - 11/29/11 |
FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
|
| Dec 11, 2009 | Election Notice - 12/11/09 |
Upcoming District Committee and District Nominating Committee Elections
|
| Dec 14, 2007 | Election Notice - 12/14/07 |
Small Firm Advisory Board Election and Ballots
|
| Dec 14, 2011 | Election Notice - 12/14/11 |
Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
|
| Dec 17, 2013 | Election Notice - 12/17/13 |
FINRA Announces Results of SFAB, NAC and District Committee Elections
|