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 |
|---|---|---|
| Feb 8, 2018 | Regulatory Notice 18-06 |
FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
Comment Period Expires: April 9, 2018
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| Feb 6, 2018 | Regulatory Notice 18-05 |
FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly
Comment Period Expires: April 9, 2018
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| Feb 1, 2018 | Special Notice – 2/1/18 |
2018 Involvement and Election Process Overview
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| Jan 29, 2018 | Regulatory Notice 18-04 |
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
Effective Date: November 15, 2018; Updates to Requestor and Exchange Codes are Effective Immediately
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| Jan 10, 2018 | Regulatory Notice 18-03 |
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| Jan 8, 2018 | Regulatory Notice 18-02 |
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Comment Period Expires: March 8, 2018
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| Jan 2, 2018 | Regulatory Notice 18-01 |
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 22, 2018
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| Dec 21, 2017 | Information Notice - 12/21/17 |
2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Note: The implementation date of the margin requirements for Covered Agency Transactions pursuant to SR-FINRA-2015-036 has been extended to March 25, 2019. See Regulatory Notice 18-18 for more information. |
| Dec 15, 2017 | Election Notice – 12/15/17 |
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
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| Dec 6, 2017 | Regulatory Notice 17-43 |
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
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| Dec 6, 2017 | Regulatory Notice 17-42 |
FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information
Comment Period Expires: February 5, 2018
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| Nov 30, 2017 | Information Notice – 11/30/17 |
2018 and First Quarter of 2019 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
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| Nov 28, 2017 | Regulatory Notice 17-41 |
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Comment Period Expires: January 29, 2018
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| Nov 21, 2017 | Regulatory Notice 17-40 |
FINRA Provides Guidance to Firms Regarding Anti- Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
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| Nov 21, 2017 | Information Notice – 11/21/17 |
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Nov 15, 2017 | Regulatory Notice 17-39 |
SEC Approves the CAT Fee Dispute Resolution Process
Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)
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| Nov 13, 2017 | Regulatory Notice 17-38 |
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
Comment Period Expires: January 12, 2018
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| Nov 6, 2017 | Regulatory Notice 17-37 |
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
Effective Date: December 6, 2017
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| Nov 3, 2017 | Regulatory Notice 17-36 |
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Effective Date: February 1, 2018
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| Oct 31, 2017 | Regulatory Notice 17-35 |
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
Payment Deadline: December 18, 2017
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| Oct 20, 2017 | Election Notice – 10/20/17 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 20, 2017
The District 1 Small Firm seat is no longer contested. Ballots will not be distributed. |
| Oct 20, 2017 | Election Notice – 10/20/17 |
Notice of SFAB Election and Ballots
Ballot Due Date: November 20, 2017
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| Oct 20, 2017 | Election Notice – 10/20/17 |
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 20, 2017
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| Oct 18, 2017 | Regulatory Notice 17-34 |
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Comment Period Expires: December 18, 2017
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| Oct 18, 2017 | Regulatory Notice 17-33 |
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Comment Period Expires: December 18, 2017
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